8-K 1 doc1.txt 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): DECEMBER 20, 2001 PEOPLES BANCORP OF NORTH CAROLINA, INC. --------------------------------------- (Exact Name of Registrant as Specified in Its Charter) NORTH CAROLINA 000-27205 56-2132396 (State or Other Jurisdiction (Commission File No.) (IRS Employer of Incorporation) Identification No.) 518 WEST C STREET NEWTON, NORTH CAROLINA 28658 ------------------------ -------- (Address of Principal Executive Offices) (Zip Code) (828) 464-5620 --------------- (Registrant's Telephone Number, Including Area Code) ITEM 5. OTHER EVENTS On December 20, 2001, Peoples Bancorp of North Carolina, Inc. issued a press release announcing the issuance on December 19, 2001 of $14,000,000 PEBK Capital Trust I floating rate capital securities. A copy of the press release is attached hereto as Exhibit (99)(a) and is incorporated by reference herein. ITEM 7. FINANCIAL STATEMENTS AND EXHIBITS (c) Exhibits (4)(a) Junior Subordinated Indenture, dated December 19, 2001 (4)(b) Amended and Restated Trust Agreement, dated December 19, 2001 (4)(c) Guarantee Agreement, dated December 19, 2001 (99)(a) Press Release, dated December 20, 2001 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. PEOPLES BANCORP OF NORTH CAROLINA, INC. Date: December 20, 2001 By: /s/ Tony W. Wolfe ------------------------------ Tony W. Wolfe President and Chief Executive Officer This Form 8-K contains forward-looking statements. These statements are subject to certain risks and uncertainties that could cause actual results to differ materially from those anticipated in the forward-looking statements. Factors that might cause such a difference include, but are not limited to, changes in interest rate environment, management's business strategy, national, regional, and local market conditions and legislative and regulatory conditions. Readers should not place undue reliance on forward-looking statements, which reflect management's view only as of the date hereof. The Company undertakes no obligation to publicly revise these forward-looking statements to reflect subsequent events or circumstances. Readers should also carefully review the risk factors described in other documents the Company files from time to time with the Securities and Exchange Commission.