IPO registrations (S-1, F-1) · Registrants
HERITAGE COMMERCE CORP
- SEC CIK
- 1053352 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 1998-04-16, last 2010-10-22; 3 initial registrations, 2 amendments
- Outcome
- Final prospectus filed 1999-06-01; declared effective 2007-04-30; withdrawal requested 2010-04-28
- Industry (SIC)
- State Commercial Banks 6022
- Incorporated in
- CA
- Business address
- 224 AIRPORT PARKWAY, San Jose, CA 95110
- EIN
- 77-0469558
- EDGAR entity type
- operating
- Insiders and CEO pay
- HERITAGE COMMERCE CORP on the corporate pages
Offering terms
- Final price
- $15.00 per share (424B4 filed 1999-06-01)
- Shares sold
- 700,000
- Gross proceeds
- $10,500,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol HTBK
- Lead underwriters
- Assuming (387,097 shares)
- Syndicate
- Public the Company of Total
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: HERITAGE COMMERCE CORP Fuzzy (name and state)
- Form 5500 plan sponsor: HERITAGE COMMERCE CORP EXACT (EIN (EXACT))
- Form D issuer: HERITAGE COMMERCE CORP EXACT (CIK (EXACT))
- SEC filer: HERITAGE COMMERCE CORP EXACT (CIK (EXACT))
- Person page: Charles J Toeniskoetter Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: J Philip Dinapoli Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
- Person page: Marina Park Sutton Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 14
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 1998-04-16 | S-1 | S-1 (registration) | HERITAGE COMMERCE CORP | 0000891618-98-001758 ↗ |
| 1998-06-08 | S-1/A | S-1/A (amendment) | HERITAGE COMMERCE CORP | 0000891618-98-002753 ↗ |
| 1999-06-01 | 424B4 | 424B4 (final prospectus) | HERITAGE COMMERCE CORP | 0000891618-99-002497 ↗ |
| 2007-04-30 | EFFECT | EFFECT (declared effective) | HERITAGE COMMERCE CORP | 9999999995-07-001564 ↗ |
| 2009-06-11 | EFFECT | EFFECT (declared effective) | HERITAGE COMMERCE CORP | 9999999995-09-001646 ↗ |
| 2009-07-22 | EFFECT | EFFECT (declared effective) | HERITAGE COMMERCE CORP | 9999999995-09-002017 ↗ |
| 2010-04-28 | RW | RW (withdrawal request) | HERITAGE COMMERCE CORP | 0001104659-10-022493 ↗ |
| 2010-07-23 | S-1 | S-1 (registration) | HERITAGE COMMERCE CORP | 0001104659-10-039331 ↗ |
| 2010-09-02 | S-1/A | S-1/A (amendment) | HERITAGE COMMERCE CORP | 0001047469-10-007858 ↗ |
| 2010-09-16 | EFFECT | EFFECT (declared effective) | HERITAGE COMMERCE CORP | 9999999995-10-002714 ↗ |
| 2010-10-22 | S-1 | S-1 (registration) | HERITAGE COMMERCE CORP | 0001047469-10-008798 ↗ |
| 2010-11-10 | RW | RW (withdrawal request) | HERITAGE COMMERCE CORP | 0001104659-10-057633 ↗ |
| 2011-04-12 | EFFECT | EFFECT (declared effective) | HERITAGE COMMERCE CORP | 9999999995-11-000987 ↗ |
| 2012-04-06 | EFFECT | EFFECT (declared effective) | HERITAGE COMMERCE CORP | 9999999995-12-000960 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 1998-06-08 | S-1/A | registration statement | $15.50 | 387,097 | $6,000,003 | HTBK | 2 | from the submission text; price sentence, shares headline, proceeds computed, underwriting table 1, cover names 1 | document ↗ | |
| 1999-06-01 | 424B4 | final prospectus | $15.00 | 700,000 | $10,500,000 | Nasdaq HTBK | 0 | from the submission text; price sentence, shares headline, proceeds computed | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Parker Raymond | Officer | EVP/Banking Division | 13 | 2006–2011 | |
| POLANEN HUMPHREY P | Director | 16 | 2006–2015 | ||
| Kaczmarek Walter Theodore | Director; Director,Officer; Officer | CEO and President; President and CEO; President & CEO/Director | 27 | 2006–2022 | |
| CORSELLO KENNETH A | Officer | Chief Credit Officer | 1 | 2006 | |
| TOENISKOETTER CHARLES J | Director | 13 | 2006–2015 | person page Fuzzy | |
| Conner Jack W | Director | 90 | 2006–2026 | ||
| Hagarty Richard | Officer | EVP/CCO | 5 | 2006–2008 | |
| PECKHAM JACK L | Director | 15 | 2006–2009 | ||
| BIAGGIO WILLIAM DEL JR | Director,Officer; DirectorOther; Officer | Business Development | 8 | 2006–2012 | |
| BISCEGLIA FRANK G | Director | 21 | 2006–2022 | ||
| BLAIR JAMES R | Director | 11 | 2006–2009 | ||
| MCGOVERN LAWRENCE D | Officer | Chief Financial Officer; EVP/CFO | 30 | 2006–2024 | |
| Moles Robert | Director | 27 | 2006–2023 | ||
| NORMANDIN LOUIS O | Director | 6 | 2006–2009 | ||
| Webster Ranson W | Director | 39 | 2006–2024 | ||
| HOUNSLOW JOHN J | Director | 7 | 2007–2009 | ||
| LEFANOWICZ MARK | Director | 11 | 2007–2011 | ||
| Mayer James A | Officer | Executive Vice President | 6 | 2007–2008 | |
| Ong Michael Reed | Officer | EVP/Chief Risk Officer | 1 | 2008 | |
| Walworth Janet Ryder | Officer | SVP/ General Counsel | 2 | 2008–2009 | |
| FORD CELESTE VOLZ | Director | 9 | 2009–2014 | ||
| Kawamoto Dan Toshio | Officer | EVP/CAO; EVP/Chief Adm Officer | 13 | 2009–2014 | |
| INCANDELA MARGARET A | Officer | EVP/Credit Risk Management | 3 | 2010–2011 | |
| EGGEMEYER JOHN M III | Director | 19 | 2010–2016 | ||
| WYCOFF W KIRK | Director; TenPercentOwner | 23 | 2010–2016 | ||
| Hallgrimson Steven L. | Director | 19 | 2011–2020 | ||
| Roden Laura | Director | Director | 23 | 2011–2025 | |
| Benito Michael Eugene | Officer | EVP; EVP/Business Banking Division | 20 | 2012–2022 | |
| PORTER DAVID | Officer | EVP/CCO | 9 | 2012–2017 | |
| Wilton Keith | Director,Officer; Officer | EVP/COO; President and CEO | 16 | 2014–2021 | |
| BIAGINI KOMAS JULIANNE M | Director | 19 | 2015–2026 | ||
| DINAPOLI J PHILIP | Director | 8 | 2015–2018 | person page Fuzzy | |
| LUBERT IRA M | TenPercentOwner | 1 | 2016 | ||
| LYNCH JAMES J | TenPercentOwner | 1 | 2016 | ||
| PATRIOT FINANCIAL PARTNERS GP, LLC | TenPercentOwner | 1 | 2016 | ||
| PATRIOT FINANCIAL PARTNERS GP, LP | TenPercentOwner | 1 | 2016 | ||
| PATRIOT FINANCIAL PARTNERS LP | TenPercentOwner | 1 | 2016 | ||
| PATRIOT FINANCIAL PARTNERS PARALLEL, L.P. | TenPercentOwner | 1 | 2016 | ||
| Butsch Margo G. | Officer | EVP/Chief Credit Officer | 7 | 2017–2023 | |
| DiNapoli Jason Philip | Director | Director | 29 | 2018–2025 | |
| CABRAL BRUCE H | Director | 14 | 2019–2026 | ||
| Heitel Stephen G. | Director | 19 | 2019–2026 | ||
| Jones Robertson Clay JR | Director,Officer; Officer | EVP; President and CEO | 20 | 2019–2026 | |
| Sutton Marina Park | Director | 16 | 2019–2026 | person page Fuzzy | |
| Husain Kamran F | Director | 8 | 2021–2026 | ||
| None | Director | 1 | 2021 | ||
| Reuter Deborah | Officer | EVP/CRO/Corporate Secretary | 9 | 2022–2025 | |
| Peng Coonley Janice Yuli | Officer | EVP/Chief People and Diversity; EVP/Chief People & Culture | 5 | 2022–2024 | |
| Just Susan Svensson | Officer | EVP/Chief Credit Officer | 7 | 2023–2026 | |
| Edmonds-Waters Christopher | Officer | EVP/People & Culture Officer | 6 | 2024–2026 | |
| SA THOMAS A | Officer | EVP/Chief Operating Officer; EVP/COO; Executive Vice President / COO | 8 | 2024–2026 | |
| Sabnani Janisha | Officer | EVP/General Counsel; EVP/General Counsel/Corp Sec | 7 | 2025–2026 | |
| Tam Jeannie | Officer | SVP/Chief Accounting Officer | 4 | 2025–2026 | |
| Fonti Seth | Officer | EVP/CFO; EVP/Chief Financial Officer | 4 | 2025–2026 | |
| Abate Christopher J | Director; Officer | Director | 4 | 2025–2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2022-05-12 | HERITAGE COMMERCE CORP | Commercial Banking | $40,000,000 | $40,000,000 | 20 | 1 |
| 2016-09-27 | HERITAGE COMMERCE CORP | Commercial Banking | $63,739,380 | $63,739,380 | 3 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Business registration | HERITAGE COMMERCE CORP | CA | State business registries | name and state |
| Plan sponsor | HERITAGE COMMERCE CORP | CA | Form 5500 (employee benefit plans) | EIN (EXACT) |
| Form D issuer | HERITAGE COMMERCE CORP | CA | Form D private offerings | CIK (EXACT) |
| SEC filer | HERITAGE COMMERCE CORP | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | HERITAGE COMMERCE CORP | EIN (EXACT) | ||
| Person page | Charles J Toeniskoetter | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | J Philip Dinapoli | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) | |
| Person page | Marina Park Sutton | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry State Commercial Banks, CA first:
- HUMBOLDT BANCORP CA
- BEVERLY HILLS BANCORP INC CA
- PACIFIC PREMIER BANCORP INC CA
- COMMUNITY WEST BANCSHARES / CA
- PACIFIC COMMUNITY BANKING GROUP CA
- UCBH HOLDINGS INC CA
- AMERICAN RIVER BANKSHARES CA
- FIVE STAR BANCORP CA
- PLACER SIERRA BANCSHARES CA
- Silvergate Capital Corp CA
In other datasets, the same topic (Finance) in CA:
- Lobbying client: A16Z CAPITAL MANAGEMENT FKA ANDREESSEN HOROWITZ (Federal lobbying (LDA))
Interests: State Commercial Banks · Finance