UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: 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 | ||||
Stock option (3) | 05/01/2014 | 04/17/2016 | Common Stock | 1,228 | $ 13.81 | D | Â |
Stock option (3) | 05/01/2014 | 04/26/2017 | Common Stock | 1,864 | $ 15.12 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LIEN JAY T PO BOX 1578 OLYMPIA, WA 98043 |
 X |  |  |  |
/s/Kaylene Lahn POA for Jay T. Lien | 05/08/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents shares of Heritage Financial Corporation ("Heritage") common stock received in exchange for shares of Washington Banking Company ("Washington Banking") common stock in connection with the merger of Washington Banking into Heritage Financial Corporation ("Heritage"), with each share of Washington Banking common stock converted into 0.89000 of a share of Heritage commons stock and $2.75 in cash, pursuant to the terms of an Agreement and Plan of Merger dated October 23, 2013 between Heritage and Washington Banking ("Merger Agreement"). |
(2) | Represents shares of Heritage common stock issued in settlement of Washington Banking restricted stock units effective as of the merger. |
(3) | Represents Washington Banking options that were converted into Heritage options, pursuant to the terms of the Merger Agreement. |