Heritage Financial Corp 8-K, filed Dec 21, 2020
Heritage Financial Corp (HFWA)
8-K
2020-12-21
For: 2020-12-17
View Original
Added on
April 04, 2026
About this 8-K
Heritage Financial Corp filed this 8-K on December 21, 2020, reporting on events of December 17, 2020.
Items reported
- Item 5.02: Director or officer change, or executive pay
- Item 9.01: Financial statements and exhibits
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 and Exchange Act of 1934
Date of Report (Dated of earliest event reported): December 17, 2020
(Exact name of registrant as specified in its charter)
Commission File Number 000-29480
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |||||||||||||
| (Address of principal executive offices) | (Zip Code) | |||||||||||||
(Registrant’s telephone number, including area code)
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:
| 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:
| Title of each class | Trading symbol | Name of each exchange on which registered | ||||||
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1934 (§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 December 17, 2020 the Board of Directors of Heritage Financial Corporation (“Heritage”) appointed Frederick (“Fred”) B. Rivera to the Board and the Board of Directors of its banking subsidiary, Heritage Bank. Mr. Rivera will serve on the Compensation and Risk Committees.
For further information concerning Mr. Rivera’s background, reference is made to the press release dated December 21, 2020, which is attached hereto as Exhibit 99.1 and incorporated herein by reference.
There are no family relationships between Mr. Rivera and any director or other executive officer of Heritage or its subsidiaries and Mr. Rivera was not appointed as a director pursuant to any arrangement or understanding with any person. Ms. Rivera has not engaged in any transactions with Heritage or its subsidiaries that would be reportable as a related party transaction under the rules of the Securities and Exchange Commission.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
The following exhibit is being filed herewith and this list shall constitute the exhibit index:
| 99.1 | ||||||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | |||||||
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 hereunto duly authorized.
| HERITAGE FINANCIAL CORPORATION | ||||||||
| Date: | ||||||||
| December 21, 2020 | /S/ JEFFREY J. DEUEL | |||||||
| Jeffrey J. Deuel | ||||||||
| President and Chief Executive Officer | ||||||||
| (Duly Authorized Officer) | ||||||||
Exhibit 99.1
For Immediate Release
December 21, 2020
Heritage Financial Corporation Appoints Fred Rivera to its Board of Directors
Olympia, WA, December 21, 2020/PRNewswire/ – Heritage Financial Corporation (“Heritage”) (NASDAQ: HFWA), is pleased to announce the appointment of Fred Rivera to its Board of Directors. Mr. Rivera was also appointed to the Board of Director of Heritage’s wholly-owned subsidiary, Heritage Bank. The appointments were effective December 17, 2020.
“We are pleased to welcome Fred to our boards of directors,” said Brian L. Vance, Board Chairman. “Fred brings a great deal of business acumen to our board including his legal background, his financial services experience, as well as financial industry regulatory and compliance experience along with his community leadership in the Puget Sound region.”
Rivera currently serves as Executive Vice President and General Counsel for the Seattle Mariners. He was formerly managing partner of the Seattle office of the law firm Perkins Coie LLP. During his career, he also held positions with Fannie Mae and the U.S. Department of Justice Civil Rights Division.
Rivera is an active community leader and currently serves on numerous boards including the NW Sports, LLC (ROOT Sports Network), OAC Services, Inc., the King County Bar Foundation, the Downtown Seattle Association, the Association of Washington Businesses and the Washington State Leadership Board, and the United Way of King County board, where he is the Immediate Past Board Chair. He holds a Bachelor of Arts from California State University and graduated from the Gonzaga School of Law. Rivera also completed the Executive Leadership Program at the Northwestern Kellogg School of Management.
About Heritage
Heritage Financial Corporation is an Olympia-based bank holding company with Heritage Bank, a full-service commercial bank, as its sole wholly-owned banking subsidiary. Heritage Bank has a branching network of 61 banking offices in Washington and Oregon. Heritage Bank also does business under the Whidbey Island Bank name on Whidbey Island. Heritage’s stock is traded on the NASDAQ Global Select Market under the symbol “HFWA”. More information about Heritage Financial Corporation can be found on its website at www.hf-wa.com and more information about Heritage Bank can be found on its website at www.heritagebanknw.com.
Contact
Jeffrey J. Deuel, President and Chief Executive Officer, (360) 943-1500