Welcome to our dedicated page for Heritage Comm SEC filings (Ticker: HTBK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Heritage Commerce Corp filings document the regulatory record of a former California bank holding company whose common stock traded on Nasdaq under HTBK. The filings include 8-K material-event reports for dividends, governance matters, capital-structure disclosures, shareholder voting matters, material agreements, and operating and financial results tied to Heritage Bank of Commerce.
The filing record also documents the company's April 2026 merger with and into CVB Financial Corp, with CVB Financial Corp surviving. Form 25 covers removal of Heritage Commerce Corp common stock from Nasdaq listing and registration, while Form 15 covers termination of Exchange Act registration or suspension of reporting duties after the merger left the covered common stock with zero holders of record.
Heritage Commerce Corp President and CEO Jones Robertson Clay Jr. reported equity compensation activity. He exercised 13,212 restricted stock units into common stock at a conversion price of $0.00 per share and received an additional 1,427 common shares from stock dividends tied to partial RSU vesting. Following these acquisitions, he directly holds 286,561 shares of common stock. Several RSU and performance-based RSU awards remain outstanding, including grants for 10,492 and 39,635 underlying common shares expiring on May 2, 2026 and March 8, 2027, respectively.
Conner Jack W reported acquisition or exercise transactions in this Form 4 filing.
HERITAGE COMMERCE CORP director Jack W. Conner reported an equity award of common stock. On March 5, 2026, he received a restricted stock award of 4,022 shares of common stock at $0.00 per share as a grant or award.
The restricted stock vests on the first anniversary of the grant date, subject to his continuous employment with the company. Following this award, he directly holds 107,324 shares of common stock. The filing also notes 45,472 shares held indirectly by his spouse, and states he is no longer the beneficial owner of indirectly held shares due to a prior transfer of investment control.
HERITAGE COMMERCE CORP director receives stock award. Director Julianne M. Biagini Komas acquired 6,838 shares of common stock on a grant or award basis, with no cash price per share reported. After this award, she directly owns 68,194 common shares.
The footnotes state this is a restricted stock award that will vest on the first anniversary of the grant date, provided she remains continuously employed by the company. A separate footnote notes she is no longer the beneficial owner of any indirectly held shares due to a prior transfer of investment control of a trust.
CABRAL BRUCE H reported acquisition or exercise transactions in this Form 4 filing.
HERITAGE COMMERCE CORP director Bruce H. Cabral reported a stock award and updated holdings. On March 5, 2026, he received a grant of 4,022 shares of common stock at no cost, increasing his directly held common shares to 9,012.
The footnote states this restricted stock award vests on the first anniversary of the grant date, subject to his continuous employment with the company. The filing also reports 2,470 employee stock options held directly and 118,313 common shares held indirectly through a trust.
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.
Heritage Commerce Corp director Stephen G. Heitel reported an equity award from the company. On March 5, he acquired 4,022 shares of common stock as a restricted stock award at a stated price of $0.00 per share, increasing his directly held shares to 166,770.
The award vests on the first anniversary of the grant date, subject to his continuous employment with the company. He also reports indirect ownership of 49,308 shares through an IRA.
Fonti Seth reported acquisition or exercise transactions in this Form 4 filing.
Heritage Commerce Corp Executive Vice President and Chief Financial Officer Seth Fonti received a grant of 19,463 restricted stock units on March 5, 2026. Each unit represents a right to receive one share of Heritage Commerce common stock.
The restricted stock units vest annually in three equal installments, beginning on March 5, 2027, with additional tranches vesting on March 5, 2028 and March 5, 2029. Following this grant, Fonti directly holds 32,188 shares of common stock.
Heritage Commerce Corp Executive Vice President and COO Thomas A. Sa reported an equity compensation award. He acquired 21,753 restricted stock units (RSUs) on common stock at a stated price of $0.00 per unit as a grant or award.
Each RSU represents the right to receive one share of Heritage Commerce common stock. The RSUs vest in three equal annual installments starting on March 5, 2027, with additional tranches vesting on March 5, 2028 and March 5, 2029, subject to the award terms.
Edmonds-Waters Christopher reported acquisition or exercise transactions in this Form 4 filing.
Heritage Commerce Corp executive Christopher Edmonds-Waters, EVP/People & Culture Officer, received a grant of 13,997 restricted stock units on March 5, 2026 at no cash cost. Each unit represents one share of common stock.
The restricted stock units vest annually in three equal installments starting March 5, 2027, with additional vesting on March 5, 2028 and March 5, 2029. Following these transactions, he holds direct positions in restricted stock units, performance-based restricted stock units, and 6,704 shares of common stock.
HERITAGE COMMERCE CORP reported that EVP/Chief Credit Officer Susan Svensson acquired 14,069 restricted stock units on March 5, 2026 as an equity award. Each restricted stock unit represents a right to receive one share of Heritage Commerce common stock.
The restricted stock units vest annually in three equal installments starting on March 5, 2027, with additional tranches vesting on March 5, 2028 and March 5, 2029. The filing also lists Svensson's existing holdings in performance-based restricted stock units, time-based restricted stock units, and common stock.