person · Reporting owner

SA THOMAS A

Disclosed activity across 3 companies

Tapewire entity: 52118
SEC CIK: 0001033605

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
California BanCorp \ CABCAL · Entity 5250	Chief Operating Officer	August 02, 2024	August 07, 2024

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

California BanCorp \ CA

Report date August 02, 2024 · Filed August 07, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	67,490	Reported balance After 2024-08-02 transaction · row 1 1 source row Row 1 · 2024-08-02 · Grant · Acquired 19,608 · Balance 67,490 F1: Represents restricted stock units granted to the Reporting Person on August 2, 2024, which will be issued upon vesting and will vest annually, in substantially equal installments, over a three-year period beginning on its first anniversary.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units granted to the Reporting Person on August 2, 2024, which will be issued upon vesting and will vest annually, in substantially equal installments, over a three-year period beginning on its first anniversary.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

California BanCorp

Report date July 31, 2024 · Filed July 31, 2024

Section 16 reporting ended · disclosed 2024-07-31. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2024-07-31 transaction · row 1 1 source row Row 1 · 2024-07-31 · Disposition to issuer · Disposed 30,115 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F2: Includes restricted stock units with respect to 10,736 shares of the Issuer's common stock. Pursuant to the Merger Agreement, at the effective time of the merger, the restricted stock units were assumed by BCAL and converted into a restricted stock units with respect to a number of shares of BCAL common stock equal to the number of issuer shares underlying the restricted stock unit multiplied by the Exchange Ratio. F3: This total amount corrects an administrative error in the total amount reported in previous filings. No reportable transaction was omitted from previously filings.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.93 · Expires 2029-07-18	Direct	Reported balance After 2024-07-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2024-07-31 · Disposition to issuer · Disposed 25,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2030-03-19	Direct	Reported balance After 2024-07-31 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-07-31 · Disposition to issuer · Disposed 7,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.17 · Expires 2031-03-08	Direct	Reported balance After 2024-07-31 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-07-31 · Disposition to issuer · Disposed 7,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.04 · Expires 2032-04-12	Direct	Reported balance After 2024-07-31 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-07-31 · Disposition to issuer · Disposed 7,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.66 · Expires 2033-07-27	Direct	Reported balance After 2024-07-31 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-07-31 · Disposition to issuer · Disposed 7,000 · Balance 0 F4: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock.

F2: Includes restricted stock units with respect to 10,736 shares of the Issuer's common stock. Pursuant to the Merger Agreement, at the effective time of the merger, the restricted stock units were assumed by BCAL and converted into a restricted stock units with respect to a number of shares of BCAL common stock equal to the number of issuer shares underlying the restricted stock unit multiplied by the Exchange Ratio.

F3: This total amount corrects an administrative error in the total amount reported in previous filings. No reportable transaction was omitted from previously filings.

F4: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings..

HERITAGE COMMERCE CORP

Report date April 17, 2026 · Filed April 17, 2026

Section 16 reporting ended · disclosed 2026-04-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common Stock, No Par ValueSEC Table I · non-derivative	Direct	Reported balance After 2026-04-17 transaction · row 1 1 source row Row 1 · 2026-04-17 · Disposition to issuer · Disposed 37,576 · Balance 0 F1: On April 17, 2026 (the "Effective Time"), upon consummation of the transactions contemplated by the Agreement and Plan of Reorganization and Merger (the "Merger Agreement"), dated as of December 17, 2025, by and between Heritage Commerce Corp (the "Company"), a California corporation and CVB Financial Corp. ("CVBF"), a California corporation, and subject to the terms and conditions set forth in the Merger Agreement, each share of the Company's common stock outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive 0.65 shares (the "Exchange Ratio") of CVBF's common stock, without interest thereon (the "Merger Consideration").
Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2026-04-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-04-17 · Disposition to issuer · Disposed 58,325 · Balance 0 F2: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes.
Performance-Based Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	Reported balance After 2026-04-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-04-17 · Disposition to issuer · Disposed 13,831 · Balance 0 F2: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes.

Filing footnotes · ownership attribution and instrument terms

F1: On April 17, 2026 (the "Effective Time"), upon consummation of the transactions contemplated by the Agreement and Plan of Reorganization and Merger (the "Merger Agreement"), dated as of December 17, 2025, by and between Heritage Commerce Corp (the "Company"), a California corporation and CVB Financial Corp. ("CVBF"), a California corporation, and subject to the terms and conditions set forth in the Merger Agreement, each share of the Company's common stock outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive 0.65 shares (the "Exchange Ratio") of CVBF's common stock, without interest thereon (the "Merger Consideration").

F2: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
March 19, 2030 Filed Apr 4, 2020 00:21 UTC	California BanCorp CALB · Entity 88623	GrantStock Option (right to buy) · Derivative	7,000	$0.00 Strike: $11.50	$0.00	Disclosure SEC source: 0000899243-20-010263 · doc4.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2030-03-19 F1 · derivative.exercise_date: Twenty percent of the award vests on the first anniversary of the date of grant and 1/48th of the award vests each month thereafter. Read SEC document
March 19, 2030 Filed Apr 4, 2020 00:21 UTC	California BanCorp CALB · Entity 88623	GrantCommon Stock	1,500	$0.00	$0.00	Disclosure SEC source: 0000899243-20-010263 · doc4.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,389 Read SEC document
April 17, 2026 Filed Apr 17, 2026 22:14 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Disposition to issuerPerformance-Based Restricted Stock Unit · Derivative	13,831	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001104659-26-045022 · tm2611972-14_4seq1.xml · derivative · entry 3 SA THOMAS A · CIK 0001033605 · EVP/COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, No Par Value · 13,831 shares Expires not disclosed F2 · date: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes. F2 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes. F2 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes. Read SEC document
April 17, 2026 Filed Apr 17, 2026 22:14 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Disposition to issuerRestricted Stock Unit · Derivative	58,325	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001104659-26-045022 · tm2611972-14_4seq1.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · EVP/COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, No Par Value · 58,325 shares Expires not disclosed F2 · date: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes. F2 · derivative.exercise_date: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes. F2 · derivative.expiration_date: At the Effective Time, each outstanding restricted stock unit award became vested by its terms on the closing date and was converted into a right to receive a number of shares of CVBF common stock equal to the product (rounded down to the nearest whole number) of (i) the number of shares of Company common stock subject to such restricted stock unit award immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, less applicable taxes. Read SEC document
April 17, 2026 Filed Apr 17, 2026 22:14 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Disposition to issuerCommon Stock, No Par Value	37,576	$0.00	$0.00	Disclosure SEC source: 0001104659-26-045022 · tm2611972-14_4seq1.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · EVP/COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: On April 17, 2026 (the "Effective Time"), upon consummation of the transactions contemplated by the Agreement and Plan of Reorganization and Merger (the "Merger Agreement"), dated as of December 17, 2025, by and between Heritage Commerce Corp (the "Company"), a California corporation and CVB Financial Corp. ("CVBF"), a California corporation, and subject to the terms and conditions set forth in the Merger Agreement, each share of the Company's common stock outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive 0.65 shares (the "Exchange Ratio") of CVBF's common stock, without interest thereon (the "Merger Consideration"). Read SEC document
March 05, 2026 Filed Mar 10, 2026 00:26 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	GrantRestricted Stock Unit · Derivative	21,753	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001593968-26-000077 · primary_01.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,753 Underlying: Common Stock, No Par Value · 21,753 shares Expires 2029-03-05 F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of Issuer common stock. F2 · derivative.exercise_date: The restricted stock units vest annually in three equal installments commencing March 5, 2027, the first anniversary of the holder's grant date. The second tranche will vest on 3/5/2028. The remaining RSUs will vest on 3/5/2029. F2 · derivative.expiration_date: The restricted stock units vest annually in three equal installments commencing March 5, 2027, the first anniversary of the holder's grant date. The second tranche will vest on 3/5/2028. The remaining RSUs will vest on 3/5/2029. Read SEC document
December 23, 2025 Filed Dec 29, 2025 22:27 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Exercise / conversionRestricted Stock Unit · Derivative	4,345	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001593968-25-001063 · primary_01.xml · derivative · entry 3 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,691 Underlying: Common Stock, No Par Value · 4,345 shares Expires 2028-03-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Restricted Stock Units, or RSUs, convert into shares of the Company's Common Stock on a one-for-one basis. F3 · derivative.exercise_date: The first tranche of this RSU grant was accelerated to vest on 12/23/2025 instead of 3/10/2026. The remaining tranche will vest in accordance with the original terms. F3 · derivative.expiration_date: The first tranche of this RSU grant was accelerated to vest on 12/23/2025 instead of 3/10/2026. The remaining tranche will vest in accordance with the original terms. Read SEC document
December 23, 2025 Filed Dec 29, 2025 22:27 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	GrantCommon Stock, No Par Value	174	$0.00	$0.00	Disclosure SEC source: 0001593968-25-001063 · primary_01.xml · nonDerivative · entry 2 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,576 F2 · shares: The reporting person acquired 174 shares of the Company's Common Stock as a result of the stock dividends payable to the reporting person upon the partial vesting of the RSU grant. Read SEC document
December 23, 2025 Filed Dec 29, 2025 22:27 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Exercise / conversionCommon Stock, No Par Value	4,345	$0.00	$0.00	Disclosure SEC source: 0001593968-25-001063 · primary_01.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,402 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Restricted Stock Units, or RSUs, convert into shares of the Company's Common Stock on a one-for-one basis. Read SEC document
November 18, 2025 Filed Nov 20, 2025 18:13 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Exercise / conversionRestricted Stock Unit · Derivative	12,554	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001593968-25-001041 · primary_01.xml · derivative · entry 3 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,110 Underlying: Common Stock, No Par Value · 12,554 shares Expires 2027-11-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The RSUs vest annually in three equal installments commencing on November 18, 2025, the first anniversary of the holders' grant date, the second tranche will vest on November 18, 2026.The remaining RSUs will vest on November 18, 2027. Read SEC document
November 18, 2025 Filed Nov 20, 2025 18:13 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	Exercise / conversionCommon Stock, No Par Value	12,554	$0.00	$0.00	Disclosure SEC source: 0001593968-25-001041 · primary_01.xml · nonDerivative · entry 2 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,057 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document
November 18, 2025 Filed Nov 20, 2025 18:13 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	GrantCommon Stock, No Par Value	503	$0.00	$0.00	Disclosure SEC source: 0001593968-25-001041 · primary_01.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,503 F1 · shares: The reporting person acquired 503 shares of the Company's Common Stock as a result of the stock dividends payable to the reporting person upon the partial vesting of the Restricted Stock Units, or RSU's grant. Read SEC document
August 01, 2025 Filed Aug 5, 2025 21:44 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	PurchaseCommon Stock, No Par Value	20,000	$9.25	$185,000.00	Disclosure SEC source: 0001127602-25-020102 · form4.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · EVP/Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Read SEC document
March 10, 2025 Filed Jun 4, 2025 00:21 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	GrantPerformance-Based Restricted Stock Unit · Derivative	13,036	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001593968-25-000726 · primary_01.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,036 Underlying: Common Stock, No Par Value · 13,036 shares Expires 2028-03-10 F3 · derivative.exercise_price: Each performance-based restricted stock unit, or PRSU, represents a right to receive one share of Issuer common stock. F4 · derivative.exercise_date: 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. F4 · derivative.expiration_date: 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. Read SEC document
March 10, 2025 Filed Jun 4, 2025 00:21 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	GrantRestricted Stock Unit · Derivative	13,036	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001593968-25-000726 · primary_01.xml · derivative · entry 1 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,036 Underlying: Common Stock, No Par Value · 13,036 shares Expires 2028-03-10 F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of Issuer common stock. F2 · derivative.exercise_date: The restricted stock units vest in three equal installments commencing March 10, 2026, the first anniversary of the holder's grant date. F2 · derivative.expiration_date: The restricted stock units vest in three equal installments commencing March 10, 2026, the first anniversary of the holder's grant date. Read SEC document
November 18, 2024 Filed Nov 20, 2024 22:43 UTC	HERITAGE COMMERCE CORP HTBK · Entity 52106	GrantRestricted Stock Unit · Derivative	37,664	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001593968-24-001415 · primary_01.xml · derivative · entry 1 SA THOMAS A · CIK 0001033605 · Executive Vice President / COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,664 Underlying: Common Stock, No Par Value · 37,664 shares Expires 2027-11-18 F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of Issuer common stock. F2 · derivative.exercise_date: The Restricted Stock Units vest in three equal installments commencing on November 18, 2025, the first anniversary of the holders' grant date. F2 · derivative.expiration_date: The Restricted Stock Units vest in three equal installments commencing on November 18, 2025, the first anniversary of the holders' grant date. Read SEC document
August 02, 2024 Filed Aug 7, 2024 00:48 UTC	California BanCorp \ CA BCAL · Entity 5250	GrantCommon Stock	19,608	$0.00	$0.00	Disclosure SEC source: 0001562180-24-006077 · primarydocument.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · Chief Operating Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,490 F1 · shares: Represents restricted stock units granted to the Reporting Person on August 2, 2024, which will be issued upon vesting and will vest annually, in substantially equal installments, over a three-year period beginning on its first anniversary. Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:25 UTC	California BanCorp CALB · Entity 88623	Disposition to issuerStock Option (right to buy) · Derivative	7,000	Not disclosed Strike: $17.66	Not disclosed	Disclosure SEC source: 0000950170-24-088724 · ownership.xml · derivative · entry 6 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2033-07-27 F4 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:25 UTC	California BanCorp CALB · Entity 88623	Disposition to issuerStock Option (right to buy) · Derivative	7,000	Not disclosed Strike: $23.04	Not disclosed	Disclosure SEC source: 0000950170-24-088724 · ownership.xml · derivative · entry 5 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2032-04-12 F4 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:25 UTC	California BanCorp CALB · Entity 88623	Disposition to issuerStock Option (right to buy) · Derivative	7,000	Not disclosed Strike: $18.17	Not disclosed	Disclosure SEC source: 0000950170-24-088724 · ownership.xml · derivative · entry 4 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2031-03-08 F4 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:25 UTC	California BanCorp CALB · Entity 88623	Disposition to issuerStock Option (right to buy) · Derivative	7,000	Not disclosed Strike: $11.50	Not disclosed	Disclosure SEC source: 0000950170-24-088724 · ownership.xml · derivative · entry 3 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,000 shares Expires 2030-03-19 F4 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:25 UTC	California BanCorp CALB · Entity 88623	Disposition to issuerStock Option (right to buy) · Derivative	25,000	Not disclosed Strike: $19.93	Not disclosed	Disclosure SEC source: 0000950170-24-088724 · ownership.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2029-07-18 F4 · price: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the merger, each of the reporting person's stock options was converted in to the right to receive the amount, if any, by which the exercise price exceeds $22.98 (the value of the per share merger consideration), less required tax withholdings.. Read SEC document
July 31, 2024 Filed Jul 31, 2024 21:25 UTC	California BanCorp CALB · Entity 88623	Disposition to issuerCommon Stock	30,115	$0.00	$0.00	Disclosure SEC source: 0000950170-24-088724 · ownership.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F2 · shares: Includes restricted stock units with respect to 10,736 shares of the Issuer's common stock. Pursuant to the Merger Agreement, at the effective time of the merger, the restricted stock units were assumed by BCAL and converted into a restricted stock units with respect to a number of shares of BCAL common stock equal to the number of issuer shares underlying the restricted stock unit multiplied by the Exchange Ratio. F3 · shares: This total amount corrects an administrative error in the total amount reported in previous filings. No reportable transaction was omitted from previously filings. F1 · price: Disposed of pursuant to the Agreement and Plan of Merger and Reorganization, dated January 31, 2024 (the "Merger Agreement"), by and between the Issuer and Southern California Bancorp ("BCAL"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger, each share of Issuer common stock converted into the right to receive 1.590 shares of BCAL common stock (the "Exchange Ratio"), with cash paid in lieu of fractional shares. As a result of the merger, the reporting person no longer beneficially owns, directly or indirectly, any shares of Issuer common stock. F2 · price: Includes restricted stock units with respect to 10,736 shares of the Issuer's common stock. Pursuant to the Merger Agreement, at the effective time of the merger, the restricted stock units were assumed by BCAL and converted into a restricted stock units with respect to a number of shares of BCAL common stock equal to the number of issuer shares underlying the restricted stock unit multiplied by the Exchange Ratio. Read SEC document
July 27, 2023 Filed Jul 31, 2023 20:30 UTC	California BanCorp CALB · Entity 88623	GrantStock option (right to buy) · Derivative	7,000	$0.00 Strike: $17.66	$0.00	Disclosure SEC source: 0000950170-23-035964 · ownership.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2033-07-27 F2 · derivative.exercise_date: The stock option vests in five equal installments on the first five anniversaries of the grant date. Read SEC document
July 27, 2023 Filed Jul 31, 2023 20:30 UTC	California BanCorp CALB · Entity 88623	GrantCommon Stock	1,500	$0.00	$0.00	Disclosure SEC source: 0000950170-23-035964 · ownership.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,389 F1 · shares: Award of restricted stock units. The restricted stock units vest in five equal installments on the first five anniversaries of the grant date. F1 · price: Award of restricted stock units. The restricted stock units vest in five equal installments on the first five anniversaries of the grant date. Read SEC document
May 24, 2023 Filed May 25, 2023 20:38 UTC	California BanCorp CALB · Entity 88623	PurchaseCommon Stock	5,000	$14.30	$71,500.00	Disclosure SEC source: 0000950170-23-024271 · ownership.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · President, CFO and COO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,889 F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices within $1.00 ranging from $14.26 to $14.40. The reporting person undertakes to provide to California BanCorp, any holder of California BanCorp common stock or the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range. Read SEC document
April 12, 2022 Filed Apr 14, 2022 20:00 UTC	California BanCorp CALB · Entity 88623	GrantStock Option (right to buy) · Derivative	7,000	$0.00 Strike: $23.04	$0.00	Disclosure SEC source: 0000899243-22-014786 · doc4.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2032-04-12 F2 · derivative.exercise_date: Twenty percent of the award vests on each of the first five anniversaries of the grant date. Read SEC document
April 12, 2022 Filed Apr 14, 2022 20:00 UTC	California BanCorp CALB · Entity 88623	GrantCommon Stock	1,500	$0.00	$0.00	Disclosure SEC source: 0000899243-22-014786 · doc4.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,889 F1 · shares: Reflects grant of restricted stock units. Twenty percent of the award vests on each of the first five annivesaries of the date of grant. Read SEC document
March 18, 2021 Filed Mar 22, 2021 20:30 UTC	California BanCorp CALB · Entity 88623	GrantStock Option (right to buy) · Derivative	7,000	$0.00 Strike: $18.50	$0.00	Disclosure SEC source: 0000899243-21-012863 · doc4.xml · derivative · entry 2 SA THOMAS A · CIK 0001033605 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2031-03-18 F2 · derivative.exercise_date: Twenty percent of the award vests on the first anniversary of the grant date and 1/48th of the award vests each month thereafter. Read SEC document
March 18, 2021 Filed Mar 22, 2021 20:30 UTC	California BanCorp CALB · Entity 88623	GrantCommon Stock	5,000	$0.00	$0.00	Disclosure SEC source: 0000899243-21-012863 · doc4.xml · nonDerivative · entry 1 SA THOMAS A · CIK 0001033605 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,389 F1 · shares: Reflects grant of restricted stock award. Twenty percent of the award vests on each annivesary of the date of grant. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.