Heritage Commerce director granted 4,022 HTBK shares

Abate Christopher J reported acquisition or exercise transactions in this Form 4 filing.

Accepted by SEC EDGAR 03/09/2026 - 08:28 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Abate Christopher J reported acquisition or exercise transactions in this Form 4 filing.

HERITAGE COMMERCE CORP director Christopher J. Abate received a restricted stock award of 4,022 shares of common stock. The award was granted as a stock-based compensation grant at a price of $0.00 per share.

According to the terms, the restricted stock award vests at the first anniversary of the grant date, subject to his continuous employment with the company. Following this grant, Abate directly holds a total of 6,980 shares of Heritage Commerce Corp common stock.

Insider Trade Summary

Grant/Award: 4,022 shares

Grant/Award 1 txn

Insider Abate Christopher J

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, No Par Value	4,022	$0.00	$0.00

Holdings After Transaction: Common Stock, No Par Value — 6,980 shares (Direct)

Footnotes (1)

1. F1. Restricted stock award vests at the first anniversary of the grant date, subject to continuous employment with the company.

FAQ

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What insider transaction did HTBK director Christopher J. Abate report?

Christopher J. Abate reported receiving a grant of 4,022 shares of Heritage Commerce Corp common stock as a restricted stock award. The shares were granted at $0.00 per share as stock-based compensation and increased his direct holdings to 6,980 shares after the transaction.

Was the HTBK transaction by Christopher J. Abate a purchase or a grant?

The transaction was a grant, not an open-market purchase. Abate acquired 4,022 shares as a restricted stock award categorized as a grant, award, or other acquisition, with no cash price per share, reflecting equity compensation rather than a typical share purchase.

When does Christopher J. Abate’s 4,022-share restricted stock award in HTBK vest?

The 4,022-share restricted stock award vests on the first anniversary of the grant date. Vesting is conditioned on Abate’s continuous employment with Heritage Commerce Corp through that one-year period, meaning he must remain with the company for the shares to fully vest.

How many HERITAGE COMMERCE CORP shares does Christopher J. Abate hold after this Form 4?

After the reported grant, Abate directly holds 6,980 shares of Heritage Commerce Corp common stock. This total includes the newly granted 4,022 restricted shares, which will vest after one year of continuous employment with the company, as specified in the filing footnote.

What conditions are attached to the 4,022-share restricted stock grant to HTBK director Abate?

The 4,022-share restricted stock grant vests only if Abate remains continuously employed through the first anniversary of the grant date. If that condition is not met, some or all of the restricted stock may not vest, aligning the award with ongoing service to the company.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
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hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Abate Christopher J

(Last) (First) (Middle)

224 AIRPORT PARKWAY

(Street)

SAN JOSE CA 95110

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
HERITAGE COMMERCE CORP [ HTBK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
03/05/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, No Par Value	03/05/2026		A		4,022(1)	A	$0	6,980	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Restricted stock award vests at the first anniversary of the grant date, subject to continuous employment with the company.

Remarks:

	/s/Janisha Sabnani as Attorney-in-Fact for Christopher J. Abate	03/09/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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