Annual Statement of Changes in Beneficial Ownership (5)
18 Gennaio 2022 - 9:00PM
Edgar (US Regulatory)
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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).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
BROUGHTON THOMAS A | 2. Issuer Name and Ticker or Trading SymbolServisFirst Bancshares, Inc. [SFBS] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chairman, President, & CEO |
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(Last)
(First)
(Middle)
4229 OLD BROOK TRAIL | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY)
12/31/2021 |
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(Street)
BIRMINGHAM, AL 35243
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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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. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code
(Instr. 8) | 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(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 | 12/16/2021 | | G | 497812 (1) | D | $0 | 246189 (2) | D | |
| Common Stock | 12/16/2021 | | G | 497812 (1) | A | $0 | 497812 | I | TAB2, LLC (3) |
| Common Stock | | | | | | | 54790 | I | By Wife |
| Common Stock | | | | | | | 7270 | I | Step Daughter |
| Common Stock | | | | | | | 7020 | I | Step Daughter |
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 Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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
(MM/DD/YYYY) | 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 at End of Issuer's Fiscal Year
(Instr. 4) | 10. Ownership Form of Derivative Security: 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) | 497,812 shares were gifted to TAB2 LLC, a Grantor Retained Annuity Trust |
| (2) | 8,267 shares are restricted stock which vest ratably over 3 years from the date awarded (01/25/2021) |
| (3) | TAB2 LLC A PARTNERSHIP BROUGHTON DAUGHTERS' TRUST is a Grantor Retained Annuity Trust ("GRAT") with an independent trustee, however, the grantor has the right to substitute assets in accordance with the terms of the GRAT. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
BROUGHTON THOMAS A
4229 OLD BROOK TRAIL
BIRMINGHAM, AL 35243 | X |
| Chairman, President, & CEO |
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Signatures
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| Reid C. Jones, attorney-in-fact | | 1/18/2022 |
| **Signature of Reporting Person | Date |
Grafico Azioni ServisFirst Bancshares (NASDAQ:SFBS)
Storico
Da Gen 2025 a Feb 2025
Grafico Azioni ServisFirst Bancshares (NASDAQ:SFBS)
Storico
Da Feb 2024 a Feb 2025
