Jones Robertson Clay JR 的 Form 4/A 修正申報
修正Heritage Commerce Corp（HTBK），2025/3/26 申報
- 申報編號
- 0001593968-25-000415
- 申報時間
- 2025/3/26
- 交易日
- 2025/3/8-3/10
- 申報延遲
- 18 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2025/3/11
這份申報列了 3 筆非衍生性交易、3 筆衍生性交易。公開市場賣出合計 $5.01 萬。交易後 18 天申報。
這份修正申報取代了 0001593968-25-000343（2025/3/11 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Jones Robertson Clay JRCIK 0001788938 | 董事、高階主管（總裁、執行長） |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/3/8 | Common Stock, No Par Value | M行使選擇權取得 | +13,212 | $0.00 | $0 | 258,651 | 直接 | |
| 2025/3/8 | Common Stock, No Par Value | A公司授予取得 | +721 | $0.00 | $0 | 259,372 | 直接 | |
| 2025/3/10 | Common Stock, No Par Value | S賣出處分 | −5,145 | $9.73 | −$50,060.85 | 254,227 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2025/3/8 | Common Stock, No Par Value | M行使選擇權處分 | −13,212 | $0.00 | $0 | 26,424 | 直接 | |
| 2025/3/10 | Common Stock, No Par Value | A公司授予取得 | +29,691 | $0.00 | $0 | 29,691 | 直接 | |
| 2025/3/10 | Common Stock, No Par Value | A公司授予取得 | +29,690 | $0.00 | $0 | 29,690 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
The reporting person acquired 721 shares of the Company's Common Stock as a result of stock dividends payable to the reporting person upon the partial vesting of the Restricted Stock Units, or RSUs grant.
- F2
The RSUs vest in three equal installments commencing on March 8, 2025, the first anniversary of the holders' grant date. The remaining RSUs will vest in two equal installments commencing on 3/8/2026.
- F3
Each RSU represents a right to receive one share of Issuer common stock.
- F4
The RSUs vest in three equal installments commencing March 10, 2026, the first anniversary of the holder's grant date.
- F5
On March 11, 2025, the reporting person filed a Form 4 which reported awards by the Company for a certain number of RSUs and PRSUs. This amendment reflects a correction by the Company and the reporting person to the number of PRSUs and RSUs granted in each respective award.
- F6
Each performance-based restricted stock unit, or PRSU, represents a right to receive one share of Issuer common stock.
- F7
The PRSUs will vest depending upon the Issuer's Return on Average Tangible Common Equity ("ROATCE") over a three-year period ("Performance Period"), relative to companies in a peer group selected by the Issuer as of the grant date ("Peer Group"). If the Issuer's ROATCE is at the 35th percentile of the Peer Group at the end of the Performance Period then 50% of the PRSUs will vest. If the Issuer's ROATCE is at the 50th percentile at the end of the Performance Period then 100% of the PRSUs will vest. If the Issuer's ROATCE is at the 75th percentile at the end of the Performance Period then 150% of the PRSUs will vest. Vesting between performance levels will be determined by straight-line interpolation. None of the PRSUs will vest if the Issuer's ROATCE does not exceed the 35th threshold of the Peer Group.