SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Chalfant Tony – ‘3’ for 7/1/20 re: Heritage Financial Corp./WA

On:  Wednesday, 7/8/20, at 1:19pm ET   ·   For:  7/1/20   ·   Accession #:  1046025-20-159   ·   File #:  0-29480

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 7/08/20  Chalfant Tony                     3                      1:7K   Heritage Financial Corp./WA       Heritage Fin’l Corp./WA

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Initial Statement of Beneficial Ownership of        HTML      3K 
                Securities by an Insider --                                      
                wf-form3_159422875925191.xml/2.6                                 




        

This ‘3’ Document is an XML Data File that may be rendered in various formats:

  Form 3    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Initial Statement of Beneficial Ownership of Securities by an Insider — wf-form3_159422875925191.xml/2.6
 
FORM 3UNITED 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
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Chalfant Tony

(Last)(First)(Middle)
201 5TH AVE SW

(Street)
OLYMPIAWA98501

(City)(State)(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
7/1/20
3. Issuer Name and Ticker or Trading Symbol
HERITAGE FINANCIAL CORP /WA/ [ HFWA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
XOfficer (give title below) Other (specify below)
EVP Chief Credit Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
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)
Common Stock17,211D
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 ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units (1) 1/15/21 1/15/21Common Stock701 (2)0.0D
Restricted Stock Units (3) 3/15/21 3/15/22Common Stock1,283 (4)0.0D
Restricted Stock Units (5) 3/15/21 3/15/23Common Stock1,914 (6)0.0D
Restricted Stock Units (5) 6/15/21 6/15/26Common Stock7,891 (7)0.0D
Explanation of Responses:
(1)  RSU grant 2018
(2)  Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. One traunch remaining to vest 1/15/21. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.
(3)  RSU granted 2019.
(4)  Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Two traunches remaining to vest 3/15/21 and 3/15/22. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.
(5)  RSU granted 2020.
(6)  Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.
(7)  Represents award pursuant to 2014 Omnibus Equity Plan; shares vest equally over a six year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.
Remarks:
/s/ Kaylene Lahn Attorney in Fact for Tony Chalfant 7/8/20
** Signature of Reporting PersonDate
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.

Top
Filing Submission 0001046025-20-000159   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., Mar. 29, 6:35:39.1am ET