UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
x | ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2009. |
or |
o | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from _______ to _______. |
Commission file number: 000-25020
HERITAGE OAKS BANCORP
(Exact name of registrant as specified in its charter)
California | 77-0388249 | |
(State or other jurisdiction of | (I.R.S. Identification No.) | |
Incorporation or organization) | ||
545 12th Street | ||
Paso Robles, California | 93446 | |
(Address of Principal Executive Offices) | (Zip Code) |
(805) 369-5200
(Registrant’s Telephone Number)
Securities registered pursuant to Section 12(b) of the Act: None
Securities registered pursuant to Section 12(g) of the Act:
COMMON STOCK, (no par value) | NASDAQ Capital Market | |
Title of each class | Name of each exchange on which registered |
Indicate by check mark if the registrant is a well-known, seasoned issuer as defined in Rule 405 of the Securities Act.
Yes o No x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.
Yes o No x
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of the registrant's knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K o.
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. Large accelerated filer o Accelerated filer o Non-accelerated filer o Smaller reporting company x
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act) Yes o No x
The aggregate market value of the voting and non-voting common equity held by non-affiliates of the Registrant at June 30, 2009 was $39.2 million. As of March 19, 2010, the Registrant had 7,771,952 shares of Common Stock outstanding.
Documents Incorporated By Reference
The information required in Part III, Items 10 through 14 are incorporated by reference to the registrant’s definitive proxy statement for the 2010 annual meeting of shareholders.
Explanatory Note:
This 10-K/A is being filed to correct the cover page only of the Annual Report on Form 10-K filed by Heritage Oaks Bancorp on March 31, 2010, to properly identify the exchange on which shares of the company’s common stock is traded as the NASDAQ Capital Market, and to properly identify the filing status of the company as a “smaller reporting company.” This amendment is not intended to update or modify any other information presented in the Annual Report on Form 10-K as originally filed.
Signatures
Pursuant to the requirements of Section 13 of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
The Company
/s/ Lawrence P. Ward Lawrence P. Ward President and Chief Executive Officer (Principal Executive Officer) Dated: April 14, 2010 | /s/ Margaret A. Torres Margaret A. Torres Executive Vice President, Chief Financial Officer (Principal Financial Officer / Principal Accounting Officer) Dated: April 14, 2010 |
Exhibit Index
(31.1) | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
(31.2) | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
(32.1) | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
(32.2) | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |