HERITAGE FINANCIAL CORP WA
For the period ended Dec 31, 2023. Filed Feb 27, 2024.
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FY2023 · Filed Feb 27, 2024
HFWA$28.39-0.9%Stored close · as of Nov 10, 2026
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Item 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
(a) The following documents are filed as a part of this report:
(1)Financial Statements: The Consolidated Financial Statements are included in Part II. Item 8. Financial Statements And Supplementary Data.
(2)Financial Statements Schedules: All schedules are omitted because they are not required or applicable, or the required information is shown in the Consolidated Financial Statements or Notes.
(3)Exhibits: Included in schedule below.
Incorporated by Reference
| Exhibit No. | Description of Exhibit | Form | Exhibit | Filing Date/Period End Date |
|---|---|---|---|---|
| 3.1 | Amended and Restated Articles of Incorporation | 8-K | 3.1(B) | 05/18/2010 |
| 3.2 | Amendment to Amended and Restated Articles of Incorporation | S-14A | - | 03/18/2011 |
| 3.3 | Amended and Restated Bylaws of the Company | 8-K | 3.3 | 06/30/2020 |
| 4.1 | Form of Certificate of Company's Common Stock (3) | S-1/A | - | 10/29/1997 |
| 4.2 | Description of Common Stock and Preferred Stock (1) | |||
| 10.1* | Annual Incentive Compensation Plan | 10-K | 10.5 | 03/09/2017 |
| 10.2* | Amended 2014 Omnibus Equity Plan | 8-K | 99.2 | 02/01/2017 |
| 10.3* | 2014 Omnibus Equity Plan | DEF 14A | 0 | 06/11/2014 |
| 10.4* | Form of Performance-Based Restricted Stock Unit Award Agreement under the Heritage Financial Corporation 2014 Omnibus Equity Plan | 8-K | 99.4 | 02/01/2017 |
| 10.5* | Form of Restricted Stock Unit Award Agreement under the Heritage Financial Corporation 2014 Omnibus Equity Plan | 8-K | 99.3 | 02/01/2017 |
| 10.6* | Heritage Financial Corporation 2023 Omnibus Equity Plan | DEF 14A | 4.4 | 03/22/2023 |
| 10.7* | Form of Restricted Stock Unit Award Agreement under the Heritage Financial Corporation 2023 Omnibus Equity Plan | S-8 | 4.5 | 05/08/2023 |
| 10.8* | Form of Performance-Based Restricted Stock Unit Award Agreement under the Heritage Financial Corporation 2023 Omnibus Equity Plan | S-8 | 4.6 | 05/08/2023 |
| 10.9* | Employment Agreement by and between Heritage and Jeffery J. Deuel | 8-K | 10.1 | 07/01/2019 |
| 10.10* | Deferred Compensation Plan and Participation Agreement by and between Heritage and Jeffrey J. Deuel | 8-K | 10.6 | 09/07/2012 |
| 10.11* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Jeffrey J. Deuel | 8-K | 10.2 | 12/22/2016 |
| 10.12* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Jeffrey J. Deuel | 10-Q | 10.15 | 11/06/2019 |
| 10.13* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Jeffrey J. Deuel | 10-Q | 10.40 | 11/08/2022 |
| 10.14* | Employment Agreement by and between Heritage and Donald J. Hinson | 10-Q | 10.22 | 11/06/2019 |
| 10.15* | Deferred Compensation Plan and Participation Agreement by and between Heritage and Donald J. Hinson | 8-K | 10.7 | 09/07/2012 |
| 10.16* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Donald J. Hinson | 8-K | 10.3 | 12/22/2016 |
| 10.17* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Donald J. Hinson | 10-Q | 10.16 | 11/06/2019 |
| 10.18* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Donald J. Hinson | 10-Q | 10.41 | 11/08/2022 |
| 10.19* | Employment Agreement by and between Heritage and Bryan McDonald | 10-Q | 10.33 | 11/06/2019 |
| 10.20* | Deferred Compensation Plan and Participation Agreement by and between Heritage and Bryan D. McDonald | 10-K | 10.16 | 03/11/2015 |
| 10.21* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Bryan D. McDonald | 8-K | 10.4 | 12/22/2016 |
| 10.22* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Bryan D. McDonald | 10-Q | 10.27 | 11/06/2019 |
| 10.23* | Deferred Compensation Plan and Participation Agreement - Addendum by and between Heritage and Bryan D. McDonald | 10-Q | 10.42 | 11/08/2022 |
| 10.24* | Addendum to Employment Agreement - Bryan D. McDonald | 8-K | 10.1 | 07/06/2021 |
| 10.25* | Employment Agreement by and between Heritage and Mathew T. Ray | |||
| 10.26* | Form of Split Dollar Agreements | 10-Q | 10.17 | 08/06/2015 |
| 10.27* | Form of First Amendment to Split Dollar Agreements | 10-Q | 10.34 | 05/09/2019 | |
| 10.28* | Employment Agreement by and between Heritage and Tony Chalfant | 8-K | 10.1 | 06/30/2020 | |
| 10.29* | Deferred Compensation Plan and Participation Agreement by and between Heritage and Tony Chalfant | 8-K | 10.3 | 06/30/2020 | |
| 10.30* | Deferred Compensation Plan and Participation Agreement by and between Heritage and Tony Chalfant | 8-K | 10.43 | 11/08/2022 | |
| 10.31* | Form of Split Dollar Agreement, dated May 3, 2021, by and between Heritage Bank and Tony Chalfant | 10-Q | 10.34 | 05/05/2021 | |
| 14.0 | Code of Ethics and Conduct Policy (2) | ||||
| 21.0 | Subsidiaries of the Company (1) | ||||
| 23.0 | Consent of Independent Registered Public Accounting Firm (1) | ||||
| 24.0 | Power of Attorney (1) | ||||
| 31.1 | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (1) | ||||
| 31.2 | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (1) | ||||
| 32.1 | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (1) | ||||
| 97.0 | Policy Relating to Recovery of Erroneously Awarded Compensation (1) | ||||
| 101.INS | XBRL Instance Document (1) | ||||
| 101.SCH | XBRL Taxonomy Extension Schema Document (1) | ||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document (1) | ||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document (1) | ||||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document (1) | ||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document (1) | ||||
| 104 | Cover Page Interactive Data File, formatted in Inline XBRL and included in Exhibit 101 | ||||
*Indicates management contract or compensatory plan or arrangement.
(1) Filed herewith.
(2) Registrant elects to satisfy Regulation S-K §229.406(c) by posting its Code of Ethics on its website at www.hf-wa.com in the section titled Overview: Governance Documents.
(3) Exhibit not previously filed in electronic format.
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