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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
GREATER BAY BANCORP
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
391648 10 2
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(CUSIP Number)
May 8, 1998
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(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)
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* 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).
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CUSIP NO. 391648 10 2 SCHEDULE 13G Page 2 of 7 Pages
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1. NAME OF REPORTING PERSONS, I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(entities only)
Leo K.W. Lum PRB Revocable Trust ###-##-####
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ] (b) [X]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF SHARES 5. SOLE VOTING POWER 950,748 shares
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BENEFICIALLY OWNED 6. SHARED VOTING POWER 0 shares
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BY EACH REPORTING 7. SOLE DISPOSITIVE POWER 950,748 shares
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PERSON WITH: 8. SHARED DISPOSITIVE POWER 0 shares
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
950,748 shares
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10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.7%
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12. TYPE OF REPORTING PERSON
OO
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CUSIP NO. 391648 10 2 SCHEDULE 13G Page 3 of 7 Pages
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1. NAME OF REPORTING PERSONS, I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
(entities only)
Leo K.W. Lum
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ ] (b) [X]
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF SHARES 5. SOLE VOTING POWER 950,748 shares
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BENEFICIALLY OWNED 6. SHARED VOTING POWER 0 shares
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BY EACH REPORTING 7. SOLE DISPOSITIVE POWER 950,748 shares
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PERSON WITH: 8. SHARED DISPOSITIVE POWER 0 shares
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
950,748 shares
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10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.7%
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12. TYPE OF REPORTING PERSON
IN
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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
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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
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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.
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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
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(Date) Leo K.W. Lum
Trustee
May 15, 1998 /s/ Leo K.W. Lum
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(Date) Leo K.W. Lum, in
his individual capacity
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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
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Leo K.W. Lum
Trustee
/s/ Leo K.W. Lum
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Leo K.W. Lum, in
his individual capacity
