SEC Form 4 · accession 0001430723-17-000028
ServisFirst Bancshares, Inc. · SFBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J Filler
Director
Period of report
Aug 15, 2017
Accepted (ET)
Aug 16, 2017 · 6:19 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001430723
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | Aug 15, 2017 | M | 10,000 | $5.00 | A | 1,299,606 | D | |
| COMMON STOCK | Aug 16, 2017 | M | 10,000 | $5.00 | A | 1,309,606 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY)F2 | $5.00 | Aug 15, 2017 | M | 10,000 | D | Nov 28, 2016 | Nov 28, 2021 | COMMON STOCK | 10,000 | 50,000 | D |
| STOCK OPTION (RIGHT TO BUY) | $5.00 | Aug 16, 2017 | M | 10,000 | D | Nov 28, 2016 | Nov 28, 2021 | COMMON STOCK | 10,000 | 40,000 | D |
| STOCK OPTION (RIGHT TO BUY)F3 | $18.57 | holding | — | — | — | Jun 15, 2018 | Jun 15, 2023 | COMMON STOCK | 13,000 | 53,000 | D |
Explanation of responses
- F1On November 16, 2016 ServisFirst Bancshares, Inc. declared a 2-for-1 stock split in the form of a stock dividend. On December 20, 2016, all holders of record of common stock as of the close of business on December 5, 2016 received a distribution of one additional share of ServisFirst Bancshares, Inc. common stock for each share held. As a result, the reporting person received 644,803 additional shares of ServisFirst Bancshares, Inc. common stock as of December 20, 2016.
- F2On November 16, 2016 ServisFirst Bancshares, Inc. declared a 2-for-1 stock split in the form of a stock dividend. On December 20, 2016, all holders of record of common stock as of the close of business on December 5, 2016 received a distribution of one additional share of ServisFirst Bancshares, Inc. common stock for each share held. As a result, the reporting person received 30,000 additional stock awards of ServisFirst Bancshares, Inc. common stock as of December 20, 2016.
- F3On November 16, 2016 ServisFirst Bancshares, Inc. declared a 2-for-1 stock split in the form of a stock dividend. On December 20, 2016, all holders of record of common stock as of the close of business on December 5, 2016 received a distribution of one additional share of ServisFirst Bancshares, Inc. common stock for each share held. As a result, the reporting person received 6,500 additional stock awards of ServisFirst Bancshares, Inc. common stock as of December 20, 2016.