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SUPR Superior Bancorp (MM)

0.28
0.00 (0.00%)
26 Jul 2024 - Closed
Delayed by 15 minutes
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

- Small Company Offering and Sale of Securities Without Registration (D)

18/05/2010 7:06pm

Edgar (US Regulatory)



 

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

FORM D

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:  
 
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that the Issuer is not disqualified from relying on any Regulation D exemption it has identified in Item 6 above for one of the reasons stated in Rule 505(b)(2)(iii).
 
 
  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

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