0000764811-13-000058.txt : 20131224 0000764811-13-000058.hdr.sgml : 20131224 20130930092355 ACCESSION NUMBER: 0000764811-13-000058 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130930 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20130930 DATE AS OF CHANGE: 20130930 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CommunityOne Bancorp CENTRAL INDEX KEY: 0000764811 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 561456589 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-13823 FILM NUMBER: 131121516 BUSINESS ADDRESS: STREET 1: 1017 E. MOREHEAD STREET STREET 2: SUITE 200 CITY: CHARLOTTE STATE: NC ZIP: 28204 BUSINESS PHONE: 9808196213 MAIL ADDRESS: STREET 1: 1017 E. MOREHEAD STREET STREET 2: SUITE 200 CITY: CHARLOTTE STATE: NC ZIP: 28204 FORMER COMPANY: FORMER CONFORMED NAME: FNB United Corp. DATE OF NAME CHANGE: 20060428 FORMER COMPANY: FORMER CONFORMED NAME: FNB CORP/NC DATE OF NAME CHANGE: 19920703 8-K 1 a8kforterminationofdpaandd.htm 8-K 8K for termination of DPA and dismissal of case


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 27, 2013
 
 
CommunityOne Bancorp
(Exact name of registrant as specified in its charter)

                  North Carolina
               000-13823
                                    56-1456589
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification Number)

 
1017 East Morehead Street, Charlotte North Carolina 28204
(Address of principal executive offices)

Registrant's telephone number, including area code: (336) 626-8300
 
N/A
(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:

[ ] 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 8.01 Other Events

On September 27, 2013, the U.S. District Court for the Western District of North Carolina dismissed with prejudice the United States’ case against CommunityOne Bancorp’s bank subsidiary, CommunityOne Bank, N.A. (“Bank”), styled U.S. v. CommunityOne Bank, N.A., Case No. 3:11-CR-00122-RJC-DSC. The case related to the Bank’s Bank Secrecy Act/anti-money laundering program in connection with a Bank customer in a suspected Ponzi scheme who was convicted of securities fraud, wire fraud and money laundering. This dismissal was pursuant to the Deferred Prosecution Agreement the Bank had entered into with the U.S. Government as part of its recapitalization on October 21, 2011 and which was described in the Company’s Proxy Statement/Prospectus, dated September 15, 2011. With the dismissal of the complaint, the Deferred Prosecution Agreement also was terminated. A copy of the press release announcing the dismissal of the case is attached as Exhibit 99.1 and is incorporated herein by reference.


ITEM 9.01 Financial Statements and Exhibits

(d) Exhibits.

Exhibit No.     Description of Exhibit
99.1         Press Release, dated September 30, 2013, announcing the dismissal by the U.S. District Court for the Western District of North Carolina of the case against CommunityOne Bank, N.A. and the termination of the Deferred Prosecution Agreement with CommunityOne Bank.
























SIGNATURE




Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
September 30, 2013
 
CommunityOne Bancorp
(Date)
 
(Registrant)
 
 
 
 
 
/s/ David L. Nielsen
 
 
David L. Nielsen
 
 
Chief Financial Officer

    





























Exhibit Index
Exhibit No.     Description




99.1         Press Release, dated September 30, 2013, announcing the dismissal by the U.S. District
Court for the Western District of North Carolina of the case against CommunityOne
Bank, N.A. and the termination of the Deferred Prosecution Agreement with
CommunityOne Bank.