| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/08/2015 | 3. Issuer Name and Ticker or Trading Symbol HERITAGE OAKS BANCORP [ HEOP ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Heritage Oaks Bancorp Common Stock | 3,672,638 | D(1) | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. These securities are owned by Castle Creek Capital Partners IV, LP ("Fund IV"). Each of Castle Creek Capital IV LLC and John Eggemeyer may also be deemed to be the beneficial owner of the 3,672,638 shares of Common Stock held directly by Fund IV. Mr. Eggemeyer is a managing principal of Castle Creek Capital IV LLC, the sole general partner of Fund IV. Castle Creek Capital IV LLC and Mr. Eggemeyer each disclaim beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest in Fund IV, and this report shall not be deemed an admission that Castle Creek Capital IV LLC or Mr. Eggemeyer is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| CASTLE CREEK CAPITAL PARTNERS IV, LP, By: /s/ John M. Eggemeyer III, Name: John M. Eggemeyer III, Title: President | 06/08/2015 | |
| CASTLE CREEK CAPITAL IV LLC, By: /s/ John M. Eggemeyer III, Name: John M. Eggemeyer III, Title: President | 06/08/2015 | |
| JOHN M. EGGEMEYER III, By: /s/ John M. Eggemeyer III, Name: John M. Eggemeyer III | 06/08/2015 | |
| ** 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 5 (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. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
