SEC Form 4 · accession 0001090009-16-000049
SOUTHERN FIRST BANCSHARES INC · SFST
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
F Justin Strickland
Officer — President
Period of report
Nov 15, 2016
Accepted (ET)
Nov 18, 2016 · 9:00 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001090009
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 15, 2016 | M | 7,121 | $5.67 | A | 62,691 | D | |
| Common Stock | Nov 15, 2016 | S | 5,862 | $31.00 | D | 56,829 | D | |
| Common Stock | Nov 15, 2016 | S | 100 | $31.05 | D | 56,729 | D | |
| Common Stock | Nov 15, 2016 | S | 200 | $31.146 | D | 56,529 | D | |
| Common Stock | Nov 15, 2016 | S | 100 | $31.196 | D | 56,429 | D | |
| Common Stock | Nov 15, 2016 | S | 100 | $31.296 | D | 56,329 | D | |
| Common Stock | Nov 15, 2016 | S | 129 | $31.346 | D | 56,200 | D | |
| Common Stock | Nov 15, 2016 | S | 530 | $31.40 | D | 55,670 | D | |
| Common Stock | Nov 15, 2016 | S | 100 | $31.45 | D | 55,570 | D | |
| Common Stock | Nov 16, 2016 | M | 6,189 | $5.67 | A | 61,759 | D | |
| Common Stock | Nov 16, 2016 | M | 607 | $5.97 | A | 62,366 | D | |
| Common Stock | Nov 16, 2016 | S | 300 | $30.30 | D | 62,066 | D | |
| Common Stock | Nov 16, 2016 | S | 2,541 | $30.25 | D | 59,525 | D | |
| Common Stock | Nov 16, 2016 | S | 76 | $30.50 | D | 59,449 | D | |
| Common Stock | Nov 16, 2016 | S | 2,277 | $30.65 | D | 57,172 | D | |
| Common Stock | Nov 16, 2016 | S | 100 | $30.695 | D | 57,072 | D | |
| Common Stock | Nov 16, 2016 | S | 100 | $30.696 | D | 56,972 | D | |
| Common Stock | Nov 16, 2016 | S | 130 | $30.795 | D | 56,842 | D | |
| Common Stock | Nov 16, 2016 | S | 800 | $30.796 | D | 56,042 | D | |
| Common Stock | Nov 16, 2016 | S | 472 | $30.846 | D | 55,570 | D | |
| Common Stock | Nov 17, 2016 | M | 10,856 | $5.97 | A | 66,426 | D | |
| Common Stock | Nov 17, 2016 | S | 1,083 | $30.25 | D | 65,343 | D | |
| Common Stock | Nov 17, 2016 | S | 4,800 | $30.40 | D | 60,543 | D | |
| Common Stock | Nov 17, 2016 | S | 200 | $30.45 | D | 60,343 | D | |
| Common Stock | Nov 17, 2016 | S | 3,765 | $30.50 | D | 56,578 | D | |
| Common Stock | Nov 17, 2016 | S | 26 | $30.55 | D | 56,552 | D | |
| Common Stock | Nov 17, 2016 | S | 182 | $30.60 | D | 56,370 | D | |
| Common Stock | Nov 17, 2016 | S | 800 | $30.65 | D | 55,570 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock options (right to buy) | $5.67 | Nov 15, 2016 | M | 7,121 | D | Jan 19, 2014 | Jan 19, 2020 | Common Stock | 7,121 | 76,802 | D |
| Stock options (right to buy) | $5.67 | Nov 16, 2016 | M | 6,189 | D | Jan 19, 2014 | Jan 19, 2020 | Common Stock | 6,189 | 70,613 | D |
| Stock Options (right to buy) | $5.97 | Nov 16, 2016 | M | 607 | D | Jan 18, 2015 | Jan 18, 2021 | Common Stock | 607 | 70,006 | D |
| Stock Options (right to buy) | $5.97 | Nov 17, 2016 | M | 10,856 | D | Jan 18, 2015 | Jan 18, 2021 | Common Stock | 10,856 | 59,150 | D |