UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): September 28, 2015
NICOLET BANKSHARES, INC.
(Exact name of registrant as specified in its charter)
| Wisconsin | | 333-90052 | | 47-0871001 |
(State or other jurisdiction of
incorporation or organization) | | (Commission
File Number) | | (IRS Employer
Identification No.) |
111 North Washington Street
Green Bay, Wisconsin 54301
(Address of principal executive offices)
(920) 430-1400
(Registrant’s telephone number, including area code)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| x | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
On September 28, 2015, Nicolet Bankshares, Inc. (“Nicolet”) announced that it has redeemed $12.2 million (12,200 shares), or 50%, of the $24.4 million outstanding Series C Preferred Stock that had been issued to the Secretary of the Treasury in September 2011 through Nicolet’s participation in the Small Business Lending Fund (“SBLF”). The shares were redeemed at their liquidation value of $1,000 per share plus accrued dividends through the payoff date. Nicolet continues to have outstanding $12.2 million (12,200 shares) of Series C Preferred Stock issued through the SBLF program.
A copy of the Company’s press release, dated September 28, 2015, is filed as Exhibit 99.1 to this Current Report and is incorporated herein by reference.
| Item 9.01 | Financial Statements and Exhibits. |
| Exhibit No. | Description of Exhibit |
| | |
| 99.1 | Press Release, dated September 28, 2015 |
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: September 28, 2015 | NICOLET BANKSHARES, INC. |
| | | |
| | By: | /s/ Ann K. Lawson |
| | | Ann K. Lawson |
| | | Chief Financial Officer |
