UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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):January 13, 2015
CAROLINA FINANCIAL CORPORATION
(Exact Name of Registrant As Specified in Its Charter)
Delaware
(State or Other Jurisdiction of Incorporation)
| 000-19029 | 57-1039637 |
| (Commission File Number) | (I.R.S. Employer Identification No.) |
| 288 Meeting Street, Charleston, South Carolina | 29401 |
| (Address of Principal Executive Offices) | (Zip Code) |
(843) 723-7700
(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 (see General Instruction A.2. below):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o 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
The management of Carolina Financial Corporation (the “Company”) will make a presentation to Keefe, Bruyette & Woods, an investment bank and broker-dealer that specializes in the financial services sector (“KBW”), on Tuesday, January 13, 2015. Jerold L. Rexroad, Chief Executive Officer, and William A. Gehman, III, Chief Financial Officer, will meet with analysts, sales representatives and other employees of KBW at the firm’s offices in New York, New York, and provide the investor presentation furnished as an exhibit to this report and incorporated herein by reference. The presentation is scheduled to begin at 11:00 a.m., Eastern Standard Time.
The information in this Item 7.01, including Exhibit 99.1 attached hereto, (i) is furnished pursuant to Item 7.01 of this Form 8-K and shall not be deemed “filed” for any other purpose, including for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that Section; (ii) is presented as of the date hereof, and the Company does not assume any obligation to update such information in the future; and (iii) shall not be deemed incorporated by reference into any filing under the Securities Act of 1933 or the Exchange Act regardless of any general incorporation language in such filing.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
Exhibit
Number | | Description |
| | | |
| 99.1 | | Investor Presentation delivered on January 13, 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.
| | CAROLINA FINANCIAL CORPORATION, |
| | Registrant |
| | | | |
| | By: | /s/ William A. Gehman, III | |
| | Name: | William A. Gehman, III | |
| | Title: | Chief Financial Officer | |
Dated: January 13, 2015
