John Pietrzak Form 3/A HERITAGE OAKS BANCORP / John Pietrzak ownership change

SEC Form 3

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^*

CASTLE CREEK CAPITAL PARTNERS IV, LP

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

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)

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

5. If Amendment, Date of Original Filed (Month/Day/Year)
06/08/2015

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

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

Table I - Non-Derivative Securities Beneficially Owned
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)
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^*

CASTLE CREEK CAPITAL PARTNERS IV, LP

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Castle Creek Capital IV LLC

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

EGGEMEYER JOHN M III

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

THOMAS J MIKESELL

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

MERLO MARK G

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

1. Name and Address of Reporting Person^*

Pietrzak John

(Last) (First) (Middle)

C/O CASTLE CREEK CAPITAL LLC

6051 EL TORDO

(Street)

RANCHO SANTA FE CA 92067

(City) (State) (Zip)

Explanation of Responses:

1. These securities are owned by Castle Creek Capital Partners IV, LP ("Fund IV"). Each of Castle Creek Capital IV LLC, John M. Eggemeyer III, J. Mikesell Thomas, Mark G. Merlo, and John T. Pietrzak 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, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak are managing principals of Castle Creek Capital IV LLC, the sole general partner of Fund IV. Castle Creek Capital IV LLC, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, and Mr. Pietrzak 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, Mr. Eggemeyer, Mr. Thomas, Mr. Merlo, or Mr. Pietrzak 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.

Remarks:

This Amended Form 3 is being filed solely to include J. Mikesell Thomas, Mark G. Merlo, and John T. Pietrzak as reporting persons for Heritage Oaks Bancorp. Mr. Thomas, Mr. Merlo, and Mr. Pietrzak became managing principals of Castle Creek Capital Partners IV LLC on April 13, 2015.

	CASTLE CREEK CAPITAL PARTNERS IV, LP, By: /s/ John M. Eggemeyer III, Name: John M. Eggemeyer III, Title: President	11/09/2015
	CASTLE CREEK CAPITAL IV LLC, By: /s/ John M. Eggemeyer III, Name: John M. Eggemeyer III, Title: President	11/09/2015
	JOHN M. EGGEMEYER III, By: /s/ John M. Eggemeyer III, Name: John M. Eggemeyer III	11/09/2015
	J. MIKESELL THOMAS, By: /s/ J. Mikesell Thomas, Name: J. Mikesell Thomas	11/09/2015
	MARK G. MERLO, By: /s/ Mark G. Merlo, Name: Mark G. Merlo	11/09/2015
	JOHN T. PIETRZAK, By: /s/ John T. Pietrzak, Name: John T. Pietrzak	11/09/2015
	** Signature of Reporting Person	Date
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