SEC Form 4 · accession 0001430723-19-000001
ServisFirst Bancshares, Inc. · SFBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Broughton
Officer — President & CEO · Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 4:16 pm EST
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 STOCK | Jan 2, 2019 | M | 10,000 | $5.00 | A | 990,000 | D | |
| COMMON STOCKF1 | holding | — | — | — | 54,790 | I | Wife | |
| COMMON STOCKF1 | holding | — | — | — | 7,270 | I | Step Daughter | |
| COMMON STOCKF1 | holding | — | — | — | 7,270 | I | Step Daughter |
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) | $5.00 | Jan 2, 2019 | M | 10,000 | D | Nov 28, 2016 | Nov 28, 2021 | COMMON STOCK | 10,000 | 10,000 | D |
| STOCK OPTION (RIGHT TO BUY) | $15.085 | holding | — | — | — | Jan 20, 2020 | Jan 20, 2025 | COMMON STOCK | 20,000 | 30,000 | D |
| STOCK OPTION (RIGHT TO BUY) | $18.57 | holding | — | — | — | Jun 15, 2018 | Jun 15, 2023 | COMMON STOCK | 13,000 | 43,000 | D |
Explanation of responses
- F1The reporting person disclaims beneficial ownership of the shares held by his wife and his step daughters, and this report should not be deemed an admission that the reporting person is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.