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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
ServisFirst Cap. Trust II Convertible Preferred Securities (1) | $ 25 | 03/15/2010 | P | 100 | (2) | 03/15/2013(3) | Common Stock | 4,000 | $ 1,000 | 100 (4) | I | By Spouse |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fuller Michael D. 850 SHADES CREEK PARKWAY BIRMINGHAM, AL 35209 |
X |
/s/Matthew T. Franklin, Attorney-in-Fact | 03/15/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The ServisFirst Cap. Trust II Convertible Preferred Securities were issued by ServisFirst Capital Trust II, all of the common securities of which are owned by ServisFirst Bancshares, Inc. ("ServisFirst"). |
(2) | The ServisFirst Cap. Trust II Convertible Preferred Securities are convertible, in whole or in part, at any time prior to the earliest to occur of maturity, issuer redemption or mandatory conversion, at the option of the holder, into ServisFirst Common Stock at a conversion price of $25 per share. |
(3) | The ServisFirst Cap. Trust II Convertible Preferred Securities not previously redeemed or converted into Common Stock of ServisFirst will automatically and mandatorily convert into ServisFirst Common Stock on March 15, 2013 at a conversion price of $25 per share. |
(4) | The reporting person disclaims ownership of these ServisFirst Cap. Trust II Convertible Preferred Securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose. |