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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Superior Bancorp (MM) | NASDAQ:SUPR | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.28 | 0 | 01:00:00 |
|
UNITED STATES SECURITIES
|
OMB APPROVAL
OMB Number: 3235-0076
Expires: June 30, 2012
Estimated Average burden hours per response: 4.0
|
Notice of Exempt Offering of Securities
|
1. Issuer's Identity | ||
CIK (Filer ID Number) | Previous Name(s) o None | Entity Type |
0001065298
|
THE BANC CORPORATION
BANC CORP
|
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
|
Name of Issuer | ||
SUPERIOR BANCORP
|
||
Jurisdiction of Incorporation/Organization | ||
DELAWARE | ||
Year of Incorporation/Organization | |||
x | Over Five Years Ago | ||
o | Within Last Five Years (Specify Year) | ||
o | Yet to Be Formed |
2. Principal Place of Business and Contact Information | ||||
Name of Issuer | ||||
SUPERIOR BANCORP |
Street Address 1 | Street Address 2 |
17 NORTH 20TH STREET |
City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
BIRMINGHAM | ALABAMA | 35203 | (205) 327-1400 |
3. Related Persons |
Last Name | First Name | Middle Name |
BAILEY | C. | STANLEY |
Street Address 1 | Street Address 2 |
BAILEY MEWS, 12615 HIGHWAY 69 NORTH |
City | State/Province/Country | ZIP/Postal Code |
BAILEYTON | ALABAMA | 35019 |
Relationship: | x | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
BARKER | ROGER | D. |
Street Address 1 | Street Address 2 |
P.O. BOX 10048 | Suite 730 |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35202-0048 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
GARDNER | RICK | D. |
Street Address 1 | Street Address 2 |
17 NORTH 20TH STREET |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35203 |
Relationship: | x | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
JERNIGAN, JR. | THOMAS | E. |
Street Address 1 | Street Address 2 |
2000 MORRIS AVENUE |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35203 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
KENT, JR. | JAMES | MAILON |
Street Address 1 | Street Address 2 |
2700 HIGHWAY 280 SOUTH | SUITE 450 EAST BOX 531216 |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35253 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
LEE | MARK | A. |
Street Address 1 | Street Address 2 |
100 MORGAN KEEGAN DRIVE, SUITE 430 |
City | State/Province/Country | ZIP/Postal Code |
LITTLE ROCK | ARKANSAS | 72202 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
LOWE | PETER | L. |
Street Address 1 | Street Address 2 |
307 FRANKLIN STREET |
City | State/Province/Country | ZIP/Postal Code |
HUNTSVILLE | ALABAMA | 35801 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
METZ | JOHN | C. |
Street Address 1 | Street Address 2 |
TWO WOODLAND DRIVE |
City | State/Province/Country | ZIP/Postal Code |
DALLAS | PENNSYLVANIA | 18612 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
MITCHELL | D. | DEWEY |
Street Address 1 | Street Address 2 |
20537 AMBERFIELD DRIVE |
City | State/Province/Country | ZIP/Postal Code |
LAND O' LAKES | FLORIDA | 34638 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
PARRISH, JR. | ROBERT | R. |
Street Address 1 | Street Address 2 |
1701 HERMITAGE BLVD, SUITE 202 |
City | State/Province/Country | ZIP/Postal Code |
TALLAHASSEE | FLORIDA | 32308 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
ROBERTS, III | CHARLES | W. |
Street Address 1 | Street Address 2 |
15647 HALES PLACE PLANTATION ROAD |
City | State/Province/Country | ZIP/Postal Code |
TALLAHASSEE | FLORIDA | 32312 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
SCOTT | C. | MARVIN |
Street Address 1 | Street Address 2 |
17 NORTH 20TH STREET |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35203 |
Relationship: | x | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
WHITE, SR. | JAMES | C. |
Street Address 1 | Street Address 2 |
C/O BANKS FINLEY WHITE & CO | 617 37TH ST S |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35222 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
WHITE | JAMES | A. |
Street Address 1 | Street Address 2 |
17 NORTH 20TH STREET |
City | State/Province/Country | ZIP/Postal Code |
BIRMINGHAM | ALABAMA | 35203 |
Relationship: | x | Executive Officer | o | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
DOBBS, JR. | THOMAS | E. |
Street Address 1 | Street Address 2 |
500 MARKET STREET NW |
City | State/Province/Country | ZIP/Postal Code |
DECATUR | ALABAMA | 35601 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
CAUGHRAN | WILLIAM | H. |
Street Address 1 | Street Address 2 |
705 NEWHOPE MOUNTAIN ROAD |
City | State/Province/Country | ZIP/Postal Code |
PELHAM | ALABAMA | 35124 |
Relationship: | x | Executive Officer | o | Director | o | Promoter |
Clarification of Response (if Necessary) | |
4. Industry Group |
o | Agriculture | Health Care | o | Retailing | ||||
Banking & Financial Services | o | Biotechnology | o | Restaurants | ||||
x | Commercial Banking | o | Health Insurance | Technology | ||||
o | Insurance | o | Hospitals & Physicians | o | Computers | |||
o | Investing | o | Pharmaceuticals | o | Telecommunications | |||
o | Investment Banking | o | Other Health Care | o | Other Technology | |||
o |
Pooled Investment Fund
|
Travel | ||||||
o | Other Banking & Financial Services | o | Manufacturing | o | Airlines & Airports | |||
Real Estate | o | Lodging & Conventions | ||||||
o | Commercial | o | Tourism & Travel Services | |||||
o | Construction | o | Other Travel | |||||
o | REITS & Finance | o | Other | |||||
o | Residential | |||||||
o | Other Real Estate | |||||||
o | Business Services | |||||||
Energy | ||||||||
o | Coal Mining | |||||||
o | Electric Utilities | |||||||
o | Energy Conservation | |||||||
o | Environmental Services | |||||||
o | Oil & Gas | |||||||
o | Other Energy |
5. Issuer Size |
Revenue Range | Aggregate Net Asset Value Range | ||
o | No Revenues | o | No Aggregate Net Asset Value |
o | $1 - $1,000,000 | o | $1 - $5,000,000 |
o | $1,000,001 - $5,000,000 | o | $5,000,001 - $25,000,000 |
o | $5,000,001 - $25,000,000 | o | $25,000,001 - $50,000,000 |
o | $25,000,001 - $100,000,000 | o | $50,000,001 - $100,000,000 |
o | Over $100,000,000 | o | Over $100,000,000 |
x | Decline to Disclose | o | Decline to Disclose |
o | Not Applicable | o | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
o | Rule 504(b)(1) (not (i), (ii) or (iii)) | o | Rule 505 |
o | Rule 504 (b)(1)(i) | x | Rule 506 |
o | Rule 504 (b)(1)(ii) | o | Securities Act Section 4(6) |
o | Rule 504 (b)(1)(iii) | o | Investment Company Act Section 3(c) |
7. Type of Filing |
x | New Notice | Date of First Sale | 2010-05-06 | o | First Sale Yet to Occur |
o | Amendment |
8. Duration of Offering |
Does the Issuer intend this offering to last more than one year? | o | Yes | x | No |
9. Type(s) of Securities Offered (select all that apply) |
o | Pooled Investment Fund Interests | x | Equity |
o | Tenant-in-Common Securities | o | Debt |
o | Mineral Property Securities | o | Option, Warrant or Other Right to Acquire Another Security |
x | Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | x | Other (describe) |
Series B Cumulative Convertible Preferred Stock, which mandatorily converts to Superior Bancorp common stock; accompanying Warrant to purchase shares of Superior Bancorp common stock. |
10. Business Combination Transaction |
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? | o | Yes | x | No |
Clarification of Response (if Necessary) | ||||
11. Minimum Investment |
Minimum investment accepted from any outside investor | $ 100000 USD |
12. Sales Compensation |
Recipient | Recipient CRD Number | o | None | ||
(Associated) Broker or Dealer | o | None | (Associated) Broker or Dealer CRD Number | o | None |
Street Address 1 | Street Address 2 | ||||
City | State/Province/Country | ZIP/Postal Code |
State(s) of Solicitation | o | All States |
13. Offering and Sales Amounts |
Total Offering Amount | $ 25000000 USD | o Indefinite |
Total Amount Sold | $ 10000000 USD | |
Total Remaining to be Sold | $ 15000000 USD | o Indefinite |
Clarification of Response (if Necessary) |
14. Investors |
o |
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering |
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 3 |
15. Sales Commissions & Finders' Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
Sales Commissions | $ 0 USD | o | Estimate |
Finders' Fees | $ 0 USD | o | Estimate |
Clarification of Response (if Necessary) |
16. Use of Proceeds |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
$ 0 USD | o | Estimate |
Clarification of Response (if Necessary) |
Signature and Submission |
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice. |
Terms of Submission |
In submitting this notice, each Issuer named above is: | ||
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person. | |
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature. |
All Issuers | Signature | Name of Signer | Title | Date |
SUPERIOR BANCORP | /s/ William Caughran | William Caughran | General Counsel | 2010-05-18 |
1 Year Superior Bancorp (MM) Chart |
1 Month Superior Bancorp (MM) Chart |
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