-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HQHTJeRSmSuosnLw9ZDGFLjV3B9k1vQO4LO3RZ6PzX6wse4HNHGQWJdgFppUHFZg ct3PAK13D24+MX/8NqjMag== 0000898822-97-000101.txt : 19970225 0000898822-97-000101.hdr.sgml : 19970225 ACCESSION NUMBER: 0000898822-97-000101 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970204 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SILICON VALLEY BANCSHARES CENTRAL INDEX KEY: 0000719739 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 942856336 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-40800 FILM NUMBER: 97517735 BUSINESS ADDRESS: STREET 1: 3003 TASMAN DRIVE, M/S NC820 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4083835282 MAIL ADDRESS: STREET 1: 3003 TASMAN DRIVE, M/S NC820 CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCHUPF H A & CO INC CENTRAL INDEX KEY: 0000945762 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 101 EAST 52ND STREET 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 101 EAST 52ND STREET 26TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 SCHEDULE 13G _____________________________________________________________ _____________________________________________________________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 4)* SILICON VALLEY BANCSHARES __________________________________________________________________ (Name of Issuer) COMMON STOCK, NO PAR VALUE __________________________________________________________________ (Title of Class of Securities) 827064 10 6 __________________________________________________ (CUSIP Number) _____________________________________________________________ _____________________________________________________________ Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting ben- eficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a re- porting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment con- taining information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 5 Pages CUSIP No. 827064 10 6 13G Page 2 of 5 Pages ______________________________________________________________ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON H.A. Schupf & Co., Inc.; 13-3523794 ______________________________________________________________ 2 CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP* (a) ___ (b) ___ ______________________________________________________________ 3 SEC USE ONLY ______________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York ______________________________________________________________ 5 SOLE VOTING POWER 55,200 shares _______________________________________________ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY - 0 - OWNED BY _______________________________________________ EACH 7 SOLE DISPOSITIVE POWER PERSON WITH 605,990 shares _______________________________________________ 8 SHARED DISPOSITIVE POWER - 0 - ______________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 605,990 shares ______________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* __ |__| ______________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.5% ______________________________________________________________ 12 TYPE OF REPORTING PERSON* IA ______________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! Schedule 13G Amendment No. 4 Item 1. (a) Name of Issuer Silicon Valley Bancshares (b) Address of Issuer's Principal Executive Offices 3003 Tasman Drive Santa Clara, California 95054 Item 2. (a) Name of Person Filing H.A. Schupf & Co., Inc. (b) Address of Principal Business Office 101 East 52nd Street New York, New York 10022 (c) Citizenship New York (d) Title of Class of Securities Common Stock, no par value (e) CUSIP Number 827064 10 6 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) ( ) Broker or Dealer registered under Section 15 of the Act (b) ( ) Bank as defined in Section 3(a)(6) of the Act (c) ( ) Insurance Company as defined in Section 3(a)(19) of the Act (d) ( ) Investment Company registered under Section 8 of the Investment Company Act (e) (x) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) ( ) Employee Benefit Plan, Pension Fund which is subject to provisions of Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) ( ) Parent Holding Company in accordance with Section 240.13d-1(b)(ii)(G) (h) ( ) Group, in accordance with Section 240.13d- 1(b)(1)(ii)(H). Page 3 of 5 Pages Schedule 13G Amendment No. 4 Item 4. Ownership (a) Amount beneficially owned: 605,990 shares (b) Percent of class: 6.5% (c) Number of shares as to which filing person has: (i) Sole power to vote or to direct the vote 55,200 shares (ii) Shared power to vote or to direct the vote - 0 - (iii) Sole power to dispose or to direct the disposition of 605,990 shares (iv) Shared power to dispose or to direct the disposi- tion of - 0 - Item 5. Ownership of Five Percent or Less of a Class Not applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person The reporting person holds 550,790 shares covered by this report on behalf of other persons who have the right to receive or the power to direct the re- ceipt of dividends from, or the proceeds from the sale of, such securities. The interest of any of such persons does not exceed 5% of the class of se- curities. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8. Identification and Classification of Members of a Group Not applicable Item 9. Notice of Dissolution of Group Not applicable Page 4 of 5 Pages Schedule 13G Amendment No. 4 Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the is- suer of such securities and were not acquired in connec- tion with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 4, 1997 _______________________________ Date /s/ H. Axel Schupf _______________________________ Signature H. Axel Schupf, President _______________________________ Name/Title Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----