Florida
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46-4241720
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(State or Other Jurisdiction of
Incorporation or Organization)
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(I.R.S. Employer
Identification Number)
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100 5th Street South
St. Petersburg, Florida 33701
(877) 266-2265
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(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)
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C1 Financial, Inc. 2014 Omnibus Incentive Plan
C1 Financial, Inc. 2014 Employee Stock Purchase Plan
(Full title of the plans)
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Trevor R. Burgess
Chief Executive Officer
C1 Financial, Inc.
100 5th Street South
St. Petersburg, Florida 33701
(877) 266-2265
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(Name, address, including zip code, and telephone number, including area code, of agent for service)
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Copies to:
Manuel Garciadiaz
Davis Polk & Wardwell LLP
450 Lexington Avenue
New York, New York 10017
(212) 450-4000
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Large accelerated filer | ☐ | Accelerated filer | ☐ | ||
Non-accelerated filer | ☒ | (Do not check if a smaller reporting Registrant) | Smaller reporting Registrant | ☐ |
Title of securities to be registered
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Amount to be Registered (1)
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Proposed maximum offering price per share (4)
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Proposed maximum aggregate
offering price (4)
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Amount of registration fee
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Common Stock, par value $1.00 per share, to be issued pursuant to the C1 Financial, Inc. 2014 Omnibus Incentive Plan
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1,000,000 (2)
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16.78
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16,780,000
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2,161.27
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Common Stock, par value $1.00 per share, to be issued pursuant to the C1 Financial, Inc. Employee Stock Purchase Plan
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1,000,000 (3)
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16.78
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16,780,000
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2,161.27
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(1)
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Pursuant to Rule 416 under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of the Registrant’s common stock, par value $1.00 per share (“Common Stock”), which become issuable under the above-named plans by reason of any stock dividend, stock split, recapitalization or any other similar transaction effected without the receipt of consideration, which results in an increase in the number of outstanding shares of Common Stock.
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(2)
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Shares of Common Stock to be issued pursuant to future awards under the C1 Financial, Inc. 2014 Omnibus Incentive Plan.
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(3)
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Shares of Common Stock to be issued pursuant to future awards under the C1 Financial, Inc. 2014 Employee Stock Purchase Plan.
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(4)
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Estimated solely for the purpose of calculating the registration fee pursuant to Rule 457(h) under the Securities Act. The proposed maximum offering price per share is the average of the high and low prices of our Common Stock as reported on the New York Stock Exchange on August 19, 2014 (rounded up to the nearest cent).
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(1)
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The Registrant’s prospectus, dated August 13, 2014, filed with the Commission pursuant to Rule 424(b) under the Securities Act, in connection with the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-197360) that contains audited financial statements for the latest fiscal year; and
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(2)
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The description of the Common Stock contained in the Registrant’s Registration Statement on Form 8-A filed with the Commission on August 11, 2014, pursuant to Section 12(b) of the Exchange Act including any amendment or report filed for the purpose of updating such description.
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Exhibit No.
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Exhibit
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4.1
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Amended and Restated Certificate of Incorporation of C1 Financial, Inc. (filed as Exhibit 3.1 to the registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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4.2
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Amended and Restated Bylaws of C1 Financial, Inc. (filed as Exhibit 3.2 to the registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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5
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Opinion of Shutts & Bowen LLP as to the legality of the securities being registered
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23.1
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Consent of Crowe Horwath LLP, independent registered public accounting firm
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23.2
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Consent of Shutts & Bowen LLP (included in the opinion filed as Exhibit 5)
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24
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Powers of Attorney (included on the signature page of this Registration Statement)
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99.1
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C1 Financial, Inc. 2014 Omnibus Incentive Plan (filed as Exhibit 10.1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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99.2
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C1 Financial, Inc. Employee Stock Purchase Plan (filed as Exhibit 10.3 to the Registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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(a)
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The Registrant hereby undertakes:
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(1)
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To file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:
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(i)
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To include any prospectus required by Section 10(a)(3) of the Securities Act;
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(ii)
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To reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement;
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(iii)
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To include any material information with respect to the plan of distribution not previously disclosed in the registration statement or any material change to such information in the registration statement;
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(2)
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That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(3)
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To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering.
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(b)
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The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in the registration statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof.
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(c)
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Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that, in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
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C1 FINANCIAL, INC.
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By:
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/s/ Trevor R. Burgess
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Name:
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Trevor R. Burgess
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Title:
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Chief Executive Officer
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Signature
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Title
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Date
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/s/ Trevor R. Burgess
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Chief Executive Officer and Director
(principal executive officer)
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August 21, 2014
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Trevor R. Burgess
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/s/ Cristian A. Melej
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Chief Financial Officer
(principal financial and accounting officer)
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August 21, 2014
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Cristian A. Melej
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/s/ William H. Sedgeman, Jr.
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Chairman and Director
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August 21, 2014
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William H. Sedgeman, Jr.
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/s/ Brian D. Burghardt
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Director
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August 21, 2014
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Brian D. Burghardt
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/s/ Phillip L. Burghardt
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Director
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August 21, 2014
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Phillip L. Burghardt
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/s/ Marcelo Faria de Lima
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Director
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August 21, 2014
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Marcelo Faria de Lima
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/s/ Robert P Glaser
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Director
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August 21, 2014
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Robert P. Glaser
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/s/ Neil D. Grossman
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Director
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August 21, 2014
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Neil D. Grossman
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/s/ Duane L. Moore
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Director
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August 21, 2014
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Duane L. Moore
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/s/ Kathryn B. Pemble
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Director
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August 21, 2014
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Kathryn B. Pemble
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/s/ Adelaide Alexander Sink
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Director
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August 21, 2014
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Adelaide Alexander Sink
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/s/ Ryan L. Snyder
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Director
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August 21, 2014
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Ryan L. Snyder
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Exhibit No.
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Exhibit
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4.1
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Amended and Restated Certificate of Incorporation of C1 Financial, Inc. (filed as Exhibit 3.1 to the registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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4.2
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Amended and Restated Bylaws of C1 Financial, Inc. (filed as Exhibit 3.2 to the registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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5
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Opinion of Shutts & Bowen LLP as to the legality of the securities being registered
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23.1
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Consent of Crowe Horwath LLP, independent registered public accounting firm
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23.2
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Consent of Shutts & Bowen LLP (included in the opinion filed as Exhibit 5)
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24
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Powers of Attorney (included on the signature page of this Registration Statement)
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99.1
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C1 Financial, Inc. 2014 Omnibus Incentive Plan (filed as Exhibit 10.1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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99.2
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C1 Financial, Inc. Employee Stock Purchase Plan (filed as Exhibit 10.3 to the Registrant’s Registration Statement on Form S-1 (File No. 333-197360) and incorporated by reference herein)
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