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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 | ||||||||
Common Stock Purchase Warrant | $ 25 | 02/07/2013 | X | 3,250 | 06/10/2010 | (2) | Common Stock | 3,250 | $ 0 | 0 | I | By son |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brock Stanley M. P.O. BOX 11643 BIRMINGHAM, AL 35202 |
X | Chairman of the Board |
/s/ Edison K. Woodie III | 02/11/2013 | |
**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) | Mr. Brock does not exercise voting or investment control over the 22,000 shares of ServisFirst Bancshares, Inc. ("ServisFirst") Common Stock previously reported as being held by Mr. Brock's immediate family members, and such immediate family members do not share Mr. Brock's household. Future ownership reports will not reflect such holdings. |
(2) | Common Stock Purchase Warrant may be exercised, in whole or in part, during the period commencing on June 10, 2010 and ending on the later of (i) September 1, 2013 or (ii) such date which is 60 days following the date that ServisFirst's Common Stock is listed for trading on a national exchange. |