-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JAkdYYQOf8AaosHUeR+5ntoN3uKwsu3FfBBSMdSPxd4Lr1b3ysGof74+Sx+F5ZS5 LSr3+JYP3pbTVWojDzYc+A== 0000731805-97-000002.txt : 19970122 0000731805-97-000002.hdr.sgml : 19970122 ACCESSION NUMBER: 0000731805-97-000002 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 ITEM INFORMATION: Changes in control of registrant FILED AS OF DATE: 19970121 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: PACIFIC CAPITAL BANCORP CENTRAL INDEX KEY: 0000731805 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770003875 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-13528 FILM NUMBER: 97508529 BUSINESS ADDRESS: STREET 1: 307 MAIN STREET STREET 2: P O BOX 1786 CITY: SALINAS STATE: CA ZIP: 93901 BUSINESS PHONE: 4087574900 MAIL ADDRESS: STREET 1: P O BOX 1786 STREET 2: 307 MAIN ST CITY: SALINAS STATE: CA ZIP: 93902-1786 8-K/A 1 Page 2 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC FORM 8-K/A 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 3, 1996 PACIFIC CAPITAL BANCORP (Exact name of registrant as specified in its charter) California 0-13528 77003875 (State or other (Commission (IRS Employer jurisdiction of File Number) Identification No.) incorporation) 307 Main Street, Salinas, California 93901 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (408) 757- 4900 N/A (Former name or former address, if changed since last report.) This Report on Form 8-K consists of two (2) pages, the manually signed original of which is sequentially numbered. Item 2. Acquisition or Disposition of Assets Effective November 20, 1996, South Valley Bancorporation ("South Valley") was merged with and into Pacific Capital Bancorp ("Company") pursuant to the Agreement and Plan of Reorganization ("Agreement") dated July 18, 1996. In connection with the Agreement, the Company agreed to issue 1,210,185 shares of its common stock to South Valley shareholders. The number of shares to be issued was determined by multiplying the number of South Valley shares outstanding on November 20, 1996 (1,315,419) by the exchange ratio of 0.92 as provided for in the Agreement. In addition to the shares issued to South Valley shareholders, the Company also issued 81,000 shares of its common stock as consideration for the outstanding options to purchase shares of South Valley common stock held by certain officers and directors of South Valley. As a result of the merger, South Valley's principal subsidiary, South Valley National Bank, became a subsidiary of the Company. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits (a) Financial Statements of Businesses Acquired. The financial statements of South Valley Bancorporation is included in South Valley Bancorporation's Annual Report on Form 10-K for the fiscal year ended December 31, 1995 which is hereby incorporated by reference to this Form 8-K/A and shall be deemed to be a part hereof. (b) Pro Forma Financial Information. Pro forma financial information is included in Pacific Capital Bancorp's Registration Statement on Form S-4 (No. 333-10381) which is hereby incorporated by reference to this Form 8-K/A and shall be deemed to be a part hereof. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Date: January 21, 1997 PACIFIC CAPITAL BANCORP /s/ Clayton C. Larson Clayton C. Larson President -----END PRIVACY-ENHANCED MESSAGE-----