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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pouncey Clarence C. III P. O. BOX 1508 BIRMINGHAM, AL 35201-1508 |
Executive VP and COO |
/s/ Davis S. Mange, attorney-in-fact | 03/13/2017 | |
**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 reporting person's spouse holds a 33 1/3% interest in the securities held by LeCroy Properties, Ltd., and reports only that 33 1/3% interest in the transaction and holding reported herein. The reporting person disclaims beneficial ownership of securities held by LeCroy Properties, Ltd. in excess of the amount reported herein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
(2) | The amount of securities beneficially owned by the reporting person's spouse through LeCroy Properties, Ltd. represents 33 1/3% interest in the securities held by LeCroy Properties, Ltd. This interest was previously reported as 33%. |
(3) | The reporting person was appointed trustee of the Pouncey Education Trust on April 2, 2015. Members of the reporting person's immediate family are among the beneficiaries of the trust. The reporting person disclaims beneficial ownership of the SFBS common stock held by the trust except to the extent of his pecuniary interest therein. |