-----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, D+LPwCZqJpTaz6T1Npe/HmtICbalx8R3kw15k6bIqRaS7B7kRWK5Khp9HAJxLwo2 B8uxs+0tR8RxCRjUJl23uQ== 0000950008-98-000251.txt : 19980519 0000950008-98-000251.hdr.sgml : 19980519 ACCESSION NUMBER: 0000950008-98-000251 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980518 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GREATER BAY BANCORP CENTRAL INDEX KEY: 0000775473 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 942952485 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-54039 FILM NUMBER: 98627129 BUSINESS ADDRESS: STREET 1: 2860 WEST BAYSHORE ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4153751555 MAIL ADDRESS: STREET 1: 2860 BAYSHORE CITY: PALO ALTO STATE: CA ZIP: 943011504 FORMER COMPANY: FORMER CONFORMED NAME: MID PENINSULA BANCORP DATE OF NAME CHANGE: 19941031 FORMER COMPANY: FORMER CONFORMED NAME: SAN MATEO COUNTY BANCORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LUM LEO K W PRB REVOCABLE TRUST CENTRAL INDEX KEY: 0001061905 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 570622620 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 344 PINE ST CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4154219000 MAIL ADDRESS: STREET 1: 344 PINE ST CITY: SAN FRANCISCO STATE: CA ZIP: 94104 SC 13G 1 FORM SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __)* GREATER BAY BANCORP ------------------------ (Name of Issuer) Common Stock ------------------------ (Title of Class of Securities) 391648 10 2 ------------------------ (CUSIP Number) May 8, 1998 ------------------------ (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) - -------- * 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). CUSIP NO. 391648 10 2 SCHEDULE 13G Page 2 of 7 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS, I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Leo K.W. Lum PRB Revocable Trust ###-##-#### - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- NUMBER OF SHARES 5. SOLE VOTING POWER 950,748 shares ----------------------------------------------------------- BENEFICIALLY OWNED 6. SHARED VOTING POWER 0 shares ----------------------------------------------------------- BY EACH REPORTING 7. SOLE DISPOSITIVE POWER 950,748 shares ----------------------------------------------------------- PERSON WITH: 8. SHARED DISPOSITIVE POWER 0 shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 950,748 shares - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.7% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON OO - -------------------------------------------------------------------------------- CUSIP NO. 391648 10 2 SCHEDULE 13G Page 3 of 7 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS, I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Leo K.W. Lum - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF SHARES 5. SOLE VOTING POWER 950,748 shares ----------------------------------------------------------- BENEFICIALLY OWNED 6. SHARED VOTING POWER 0 shares ----------------------------------------------------------- BY EACH REPORTING 7. SOLE DISPOSITIVE POWER 950,748 shares ----------------------------------------------------------- PERSON WITH: 8. SHARED DISPOSITIVE POWER 0 shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 950,748 shares - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.7% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- CUSIP NO. 391648 10 2 SCHEDULE 13G Page 4 of 7 Pages This Schedule 13G, dated May 15, 1998, of the Leo K.W. Lum PRB Revocable Trust and Leo K.W. Lum relates to the shares of Common Stock of Greater Bay Bancorp, Inc., a California corporation. Item 1(a). Name of Issuer: Greater Bay Bancorp Item 1(b). Address of Issuer's Principal Executive Offices: 2860 West Bayshore Road, Palo Alto, California 94303 Item 2(a). Name of Person Filing: (a) Leo K.W. Lum PRB Revocable Trust (b) Leo K.W. Lum Item 2(b). Address of Principal Business Office or, if none, Residence: (a) 344 Pine Street, San Francisco, California 94104 (b) 344 Pine Street, San Francisco, California 94104 Item 2(c). Citizenship: (a) Not applicable (b) United States Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 391648 10 2 CUSIP NO. 391648 10 2 SCHEDULE 13G Page 5 of 7 Pages Item 3. If this statement is filed pursuant to sections 240.13d-1(b) or 240.13d-2(b) or (c), 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 of 1940. (e) [ ] An investment advisor in accordance with section 240.13d-1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940. (j) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership: (a) Amount beneficially owned: 950,748 shares (assuming two-for-one stock split effective May 15, 1998) (b) Percent of class: 11.7% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 950,748 shares (ii) Shared power to vote or to direct the vote: 0 shares CUSIP NO. 391648 10 2 SCHEDULE 13G Page 6 of 7 Pages (iii) Sole power to dispose or to direct the disposition of: 950,748 shares (iv) Shared power to dispose or direct the disposition of: 0 shares 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 This Schedule 13G is filed by the Leo K.W. Lum PRB Revocable Trust (the "Trust") and Leo K.W. Lum, its sole trustee and beneficiary, with respect to shares of Common Stock of Greater Bay Bancorp beneficially owned by the Trust. The Trust and Mr. Lum, as its sole trustee and beneficiary, have the right to receive, or the power to direct the receipt of, dividends from, or the proceeds from the sale of, such securities and the sole power to vote, or to direct the voting of, such securities. 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 the Group Not applicable Item 9. Notice of Dissolution of Group Not applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP NO. 391648 10 2 SCHEDULE 13G Page 7 of 7 Pages 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. LEO K.W. LUM PRB REVOCABLE TRUST May 15, 1998 By: /s/ Leo K.W. Lum - ----------------------------- ----------------------------- (Date) Leo K.W. Lum Trustee May 15, 1998 /s/ Leo K.W. Lum - ----------------------------- ------------------------------ (Date) Leo K.W. Lum, in his individual capacity JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other of the attached statement on Schedule 13G and all amendments to such statement and that such statement and all amendments to such statement is made on behalf of each of them. IN WITNESS WHEREOF, the undersigned hereby execute this agreement this 15th day of May, 1998. LEO K.W. LUM PRB REVOCABLE TRUST By: /s/ Leo K.W. Lum ---------------------------------- Leo K.W. Lum Trustee /s/ Leo K.W. Lum ---------------------------------- Leo K.W. Lum, in his individual capacity -----END PRIVACY-ENHANCED MESSAGE-----