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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
6% Preferred Securities of ServisFirst Capital Trust II | (2) | 03/15/2013 | C | 33 | (4) | 03/15/2013(4) | Common Stock | 1,320 | $ 0 | 0 | I | By Entity in which Spouse Holds Interest |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pouncey Clarence C. III 11 PINEHURST SHOAL CREEK, AL 35242 |
Executive VP and COO |
/s/ Clarence C. Pouncey, III | 03/07/2014 | |
**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 no longer has a reportable interest in 333 shares of ServisFirst Bancshares, Inc. common stock beneficially owned by the reporting person's adult daughter, and the reporting person will not include such shares in his future ownership reports. |
(2) | The 6% Preferred Securities automatically and mandatorily converted into shares of ServisFirst Common Stock on March 15, 2013 at a conversion price of $25 per share. |
(3) | The total number of shares beneficially owned by Mr. Pouncey's spouse has been adjusted to include an additional 300 shares of ServisFirst Common Stock, which reflects her increase in ownership in the limited liability company that holds the shares from 30% to 33% interest. |
(4) | The 6% Preferred Securities were 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. Any 6% Preferred Securities which remained outstanding on March 15, 2013 were automatically and mandatorily converted into shares of ServisFirst Common Stock on March 15, 2013 at a conversion price of $25 per share. |