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): October 5, 2012
CU BANCORP
(Exact name of registrant as specified in its charter)
| | | | |
| California | | 001-35683 | | 90-0779788 |
(State or other jurisdiction of incorporation) | | Commission File Number | | (I.R.S. Employer Identification No.) |
| |
15821 Ventura Boulevard, Suite 100-Encino, CA | | 91436 |
| (Address of principal executive offices) | | (Zip Code) |
Registrant’s telephone number, including area code: (818) 257-7700
(Former name or former address, if change since last report)
Check the appropriate box below if the Form 8-K filing is to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | 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)) |
| Item 7.01 | Regulation FD Disclosure |
On October 5, 2012, CU Bancorp (the “Company”) issued a press release announcing that its application to list the Company’s common stock on the NASDAQ Capital Market has been approved by The NASDAQ Stock Market LLC. Trading on the NASDAQ is expected to commence on October 9, 2012 under the ticker symbol “CUNB”. The information in this report (including Exhibit 99.1) shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other documents filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
As discussed therein, the press release furnished as Exhibit 99.1 to this Current Report on Form 8-K contains forward-looking statements within the meaning of Section 27A of the Securities Act and Section 21E of the Exchange Act and, as such, may involve known and unknown risks, uncertainties and assumptions. These forward-looking statements relate to the Company’s current expectations and are subject to the limitations and qualifications set forth in the presentation as well as in the Company’s other documents filed with the Securities and Exchange Commission, including, without limitation, that actual events and/or results may differ materially from those projected in such forward-looking statements.
On October 5, 2012, the Company issued a press release announcing that its application to list the Company’s common stock on the NASDAQ Capital Market has been approved by The NASDAQ Stock Market LLC. Trading on the NASDAQ is expected to commence on October 9, 2012 under the ticker symbol “CUNB”.
| Item 9.01 | Financial Statements and Exhibits |
(d) Exhibits
Exhibit 99.1
Copy of Press Release dated October 5, 2012 of CU Bancorp.
SIGNATURE
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.
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| | | CU BANCORP |
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Dated: October 5, 2012 | | By: | | /s/ Anita Y. Wolman |
| | | | |
| | | | Anita Y. Wolman |
| | | | Executive Vice President and General Counsel |
EXHIBIT INDEX
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Exhibit No. | | Description |
| |
| 99.1 | | Copy of Press Release dated October 5, 2012 of CU Bancorp. |
