-----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, Irr+MNBKaTBCkJiFUfekpHNQIVEW8wWWmOunev7newShoKxvjTXiKkZZ5tfIjWKG zsWjJUF7XyXw8DOYtCty7g== 0000898822-98-000089.txt : 19980119 0000898822-98-000089.hdr.sgml : 19980119 ACCESSION NUMBER: 0000898822-98-000089 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980116 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/A SEC ACT: SEC FILE NUMBER: 005-40800 FILM NUMBER: 98508503 BUSINESS ADDRESS: STREET 1: 3003 TASMAN DRIVE, M/S NC820 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4086547400 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/A 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/A 1 SCHEDULE 13G AMENDMENT NO. 5 ============================================================ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 5)* 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 beneficial 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 reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing 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 28,700 shares ----------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY - 0 - OWNED BY ----------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER PERSON WITH 421,370 shares ----------------------------------------------- 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 421,370 shares - -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.2% - -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IA - -------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Schedule 13G Amendment No. 5 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. 5 Item 4. Ownership (a) Amount beneficially owned: 421,370 shares (b) Percent of class: 4.2% (c) Number of shares as to which filing person has: (i) Sole power to vote or to direct the vote 28,700 shares (ii) Shared power to vote or to direct the vote - 0 - (iii) Sole power to dispose or to direct the disposition of 421,370 shares (iv) Shared power to dispose or to direct the disposition of - 0 - Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable 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. 5 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 issuer of such securities and were not acquired in connection 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. January 16, 1998 ---------------------------------- Date /s/ H. Axel Schupf ---------------------------------- Signature H. Axel Schupf, President ---------------------------------- Name/Title Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----