# EDGAR Filing Document

**Accession Number:** 0001053352
**File Stem:** 0001104659-25-079831
**Filing Date:** 2025-8
**Character Count:** 10916
**Document Hash:** bdde60547a7ecc74c0ffa29549954515
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-079831.hdr.sgml**: 20250818

**ACCESSION NUMBER**: 0001104659-25-079831

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20250818

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20250818

**DATE AS OF CHANGE**: 20250818

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HERITAGE COMMERCE CORP
- **CENTRAL INDEX KEY:** 0001053352
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 770469558
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-23877
- **FILM NUMBER:** 251228301

**BUSINESS ADDRESS:**
- **STREET 1:** 224 AIRPORT PARKWAY
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95110
- **BUSINESS PHONE:** 4089476900

**MAIL ADDRESS:**
- **STREET 1:** 224 AIRPORT PARKWAY
- **CITY:** SAN JOSE
- **STATE:** CA
- **ZIP:** 95110

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): August 18, 2025

**HERITAGE COMMERCE CORP**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **California** | **000-23877** | **77-0469558** |
| (State or other jurisdiction of<br> incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

---

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| | |
|:---|:---|
| **224 Airport Parkway, San Jose, California** | **95110** |
| (Address of principal executive offices) | (Zip Code) |

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Registrant's telephone number, including area code: **(408) 947-6900**

**Not Applicable**

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (See General Instruction A.2. below):

◻ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

◻ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

◻ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

◻ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| Common Stock, No Par Value | HTBK | The Nasdaq Stock Market LLC |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ◻

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

**ITEM 5.02 DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN OFFICERS**

On August 18, 2025, the Board of Directors (the "Board") of Heritage Commerce Corp (the "Company"), the holding company for Heritage Bank of Commerce (the "Bank") appointed Christopher J. Abate as a director of the Board and the Bank's Board of Directors. The Company's bylaws provide that the number of directors shall be not less than 8 and not more than 15 with the specific number set from time to time by the Board and, effective August 18, 2025, the Board expanded the number of directors from 8 to 9. Mr. Abate was also appointed to serve on the Audit Committee and Personnel and Compensation Committee of the Board.

Mr. Abate is a seasoned finance and accounting executive with over 20 years of experience in the financial services industry, bringing a wealth of extensive experience and knowledge in real estate and finance to the Company. Mr. Abate has served as Chief Executive Officer of Redwood Trust, Inc. ("Redwood Trust") since May 2018 and as a director since December 2017. Mr. Abate has been employed with Redwood Trust since April 2006, previously serving as President from July 2016 to May 2018, Chief Financial Officer from March 2012 to August 2017, and Controller from January 2009 to March 2013. Before joining Redwood Trust, Mr. Abate was employed by PricewaterhouseCoopers LLP. He holds a B.A. in accounting and finance from Western Michigan University, and an M.B.A. from the University of California at Berkeley and Columbia University.

There are no family relationships between Mr. Abate and any director or other executive officer of the Company. There are no transactions between Mr. Abate and any member of his immediate family and the Company or any of its subsidiaries that would be reportable as a related party transaction under the rules of the Securities and Exchange Commission. Further, there is no arrangement or understanding between Mr. Abate and any other persons or entities pursuant to which Mr. Abate was appointed as a director of the Company.

Upon his appointment to the Board, Mr. Abate will be entitled as a non-employee director to the same compensation provided each of the other non-employee directors of the Company. For 2025, Mr. Abate is entitled to receive a prorated portion of the annual cash retainer of $50,000 and a prorated portion of the annual grant of restricted stock with an annual market value of $50,000 in accordance with the Company's equity policy. He will also be entitled to reimbursement of reasonable and substantiated out of pocket expenses incurred in connection with the performance of his duties as a director.

**ITEM 7.01 REGULATION FD DISCLOSURE**

On August 18, 2025, the Company issued a press release announcing Mr. Abate's appointment as a director of the Board and the Bank's Board of Directors. A copy of the press release is attached as Exhibit 99.1 to this Current Report. In accordance with General Instruction B.2 of Form 8-K, the press release is deemed to be "furnished" and shall not be deemed "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall the press release be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act.

**ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS**

(d) Exhibits.

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| | |
|:---|:---|
| &nbsp;&nbsp;[99.1](tm2523453d1_ex99-1.htm) | &nbsp;&nbsp;[Press Release dated August 18, 2025, entitled "Heritage Commerce Corp and Heritage Bank of Commerce Announce Appointment of Christpher J. Abate to the Board of Directors."](tm2523453d1_ex99-1.htm) |
| &nbsp;&nbsp;104 | &nbsp;&nbsp;Cover Page Interactive Data File (embedded within XBRL document) |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Date: August 18, 2025

Heritage Commerce Corp

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| | |
|:---|:---|
| By: | /s/ Seth Fonti |
| Seth Fonti | Seth Fonti |
| Executive Vice President and Chief Financial Officer | Executive Vice President and Chief Financial Officer |

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## Exhibit 99.1

**Exhibit 99.1**

![](tm2523453d1_ex99-1img001.jpg)

**Heritage Commerce Corp and Heritage Bank of Commerce Announce Appointment of Christopher J. Abate to the Board of Directors**

San Jose, California – August 18, 2025 – **Heritage Commerce Corp (NASDAQ: HTBK)** (the "Company"), parent company of Heritage Bank of Commerce (the "Bank"), today announced the appointment of Christopher J. Abate to the Board of Directors (the "Board") of the Company and the Bank, expanding the Board to nine directors from eight. Mr. Abate will also serve as a member of the Board's Audit Committee and its Personnel and Compensation Committee.

"We are pleased to welcome Chris to the Company's Board of Directors and look forward to working with him as we pursue our strategic plans," said Julie Biagini-Komas, Chair of the Board. "His deep experience in real estate and finance, coupled with his extensive leadership skills and insight, will be a valued addition and complement the contributions of the other members of our Board."

"Chris is an accomplished leader with extensive experience in complex markets, product innovation, and platform development," stated Clay Jones, President & CEO. "His expertise and collaborative approach position him as an outstanding leader that can provide value for both our Board and shareholders."

Mr. Abate is a seasoned finance and accounting executive with over 20 years of experience in the financial services industry, bringing a wealth of extensive experience and knowledge in real estate and finance to the Company. Mr. Abate has served as Chief Executive Officer of Redwood Trust, Inc. ("Redwood Trust") since May 2018 and as a director since December 2017. Mr. Abate has been employed with Redwood Trust since April 2006, previously serving as President from July 2016 to May 2018, Chief Financial Officer from March 2012 to August 2017, and Controller from January 2009 to March 2013. Before joining Redwood Trust, Mr. Abate was employed by PricewaterhouseCoopers LLP. He holds a B.A. in accounting and finance from Western Michigan University, and an M.B.A. from the University of California at Berkeley and Columbia University.

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**Heritage Commerce Corp**, a bank holding company established in October 1997, is the parent company of Heritage Bank of Commerce, established in 1994 and headquartered in San Jose, CA with full-service branches in Danville, Fremont, Gilroy, Hollister, Livermore, Los Altos, Los Gatos, Morgan Hill, Oakland, Palo Alto, Pleasanton, Redwood City, San Francisco, San Jose, San Mateo, San Rafael, and Walnut Creek. Heritage Bank of Commerce is an SBA Preferred Lender. Bay View Funding, a subsidiary of Heritage Bank of Commerce, is based in San Jose, CA and provides business-essential working capital factoring financing to various industries throughout the United States. For more information, please visit <u>www.heritagecommercecorp.com</u>.

Member FDIC

**For additional information, email:**

<u>InvestorRelations@herbank.com</u>