| FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Form 3 Holdings Reported. | |||||||||||||||||
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Form 4 Transactions Reported. | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ServisFirst Bancshares, Inc. [ SFBS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 12/31/2015 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
| Amount | (A) or (D) | Price | |||||||||||||
| Common Stock | 08/05/2013 | P4 | 3,750 | A | $8.33(1) | 15,750(2) | I | By Spouse | |||||||
| Common Stock | 444,000 | I | By corporation owned by adult daughters | ||||||||||||
| Common Stock | 08/20/2014 | P4 | 1,937 | A | $29.5(1) | 6,893(3) | D | ||||||||
| Common Stock | 08/21/2014 | P4 | 1,063 | A | $29.5 | 7,956 | D | ||||||||
| Common Stock | 08/26/2014 | P4 | 198 | A | $29.97 | 8,154 | D | ||||||||
| Common Stock | 08/27/2014 | P4 | 2,502 | A | $29.97 | 10,656 | D | ||||||||
| Common Stock | 08/28/2014 | P4 | 993 | A | $29.9 | 11,649 | D | ||||||||
| Common Stock | 09/03/2014 | P4 | 1,479 | A | $2,969 | 13,128 | D | ||||||||
| Common Stock | 09/04/2014 | P4 | 1,521 | A | $29.6012(4) | 14,649 | D | ||||||||
| Common Stock | 09/11/2014 | P4 | 637 | A | $30.199 | 15,286 | D | ||||||||
| Common Stock | 09/15/2014 | P4 | 1,000 | A | $30 | 16,286 | D | ||||||||
| Common Stock | 10/23/2014 | P4 | 320 | A | $28.83 | 16,606 | D | ||||||||
| Common Stock | 02/17/2015 | P4 | 4,392 | A | $31.6 | 68,791(5) | D | ||||||||
| Common Stock | 02/20/2015 | P4 | 1,000 | A | $31.15 | 69,791 | D | ||||||||
| Common Stock | 02/23/2015 | P4 | 3,000 | A | $31.1997(6) | 72,791 | D | ||||||||
| Common Stock | 02/26/2015 | P4 | 630 | A | $31.8 | 73,421 | D | ||||||||
| Common Stock | 02/27/2015 | P4 | 603 | A | $31.9498(7) | 74,024 | D | ||||||||
| Common Stock | 03/03/2015 | P4 | 500 | A | $32.2 | 74,524 | D | ||||||||
| Common Stock | 03/04/2015 | P4 | 4,497 | A | $32.1378(8) | 79,021 | D | ||||||||
| Common Stock | 03/05/2015 | P4 | 1,000 | A | $31.89 | 80,021 | D | ||||||||
| Common Stock | 03/06/2015 | P4 | 6,075 | A | $31.7446(9) | 86,096 | D | ||||||||
| Common Stock | 07/23/2015 | P4 | 7,000 | A | $39.31 | 135,191(10) | D | ||||||||
| Common Stock | 07/24/2015 | P4 | 22,100 | A | $38.57 | 157,291 | D | ||||||||
| Common Stock | 07/27/2015 | P4 | 627 | A | $38.42 | 157,918 | D | ||||||||
| Common Stock | 173,918(11) | D | |||||||||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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| 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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
| Explanation of Responses: |
| 1. On January 21, 2016, the reporting person returned his directors and officers questionnaire in connection with the preparation of the issuer's 2015 Annual Report on Form 10-K and 2016 proxy statement, which completed questionnaire noted discrepancies between the total ownership of common stock of the issuer reflected in the questionnaire and the reporting person's own records. The transactions reported herein are the result of extensive due diligence by the issuer and reporting person in order to correct the reporting person's share ownership discrepancies. |
| 2. The reporting person's spouse acquired 3,750 previously unreported shares of common stock on August 5, 2013. Share amounts and purchase price reflect 3-for-1 stock split that occurred on July 16, 2014. The reporting person disclaims beneficial ownership of such shares. |
| 3. As of May 20, 2014, the reporting person held 1,652 shares of the issuer's common stock directly. Immediately following the issuer's 3-for-1 stock split on July 16, 2014, the reporting person directly owned 4,956 shares of the issuer's common stock. |
| 4. The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $29.60 to $29.69, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (4). |
| 5. The amount reported in Column 5 includes the additional 47,793 shares acquired by the reporting person between November 10, 2014 and December 16, 2014, as previously reported, including as amended by the Form 4/As filed with the Securities and Exchange Commission on the date hereof applicable to the transactions that occurred on November 13, 2014 and December 12, 2014. |
| 6. The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $31.1871 to $31.3728, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (6). |
| 7. The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $31.90 to $31.95, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (7). |
| 8. The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $32.10 to $32.15, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (8). |
| 9. The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions at prices ranging from $31.48 to $32.31, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (9). |
| 10. The amount reported in Column 5 includes the additional 42,095 shares acquired by the reporting person between April 9, 2015 and April 30, 2015, as previously reported, including as amended by the Form 4/As filed with the Securities and Exchange Commission on the date hereof applicable to the transactions that occurred on April 23, 2015 and April 30, 2015. |
| 11. The amount reported in Column 5 includes the additional 16,000 shares acquired by the reporting person between August 6, 2015 and August 28, 2015, as previously reported, including as amended by the Form 4/As filed with the Securities and Exchange Commission on the date hereof applicable to the transactions that occurred on August 12, 2015, August 26, 2015 and August 27, 2015. |
| /s/ Michael D. Fuller | 02/10/2016 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * 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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||