Michigan | 38-3150651 | |
(State or other jurisdiction of | (I.R.S. Employer | |
Incorporation or organization) | Identification No.) | |
5151 Corporate Drive, Troy, Michigan | 48098-2639 | |
(Address of principal executive offices) | (Zip code) |
Large accelerated filer | o | Accelerated filer | ý |
Non-accelerated filer | o (Do not check if smaller reporting company) | Smaller reporting company | o |
Emerging growth company | o |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. | o |
Title of securities to be Registered | Amount to be registered (1) | Proposed maximum offering price per share (2) | Proposed maximum aggregate offering price (2) | Amount of registration fee | |||||||||||
Common Stock | 800,000 | $ | 28.78 | $ | 23,024,000 | $ | 2,668 | ||||||||
(1) | In accordance with Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this registration statement shall be deemed to cover any additional shares of common stock that may become issuable as a result of a stock split, stock dividend or similar transaction. |
(2) | Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c) and 457(h) under the Securities Act, on the basis of the average high and low sale prices reported for shares of common stock on the New York Stock Exchange on May 22, 2017. |
1. | The Registrant’s Annual Report on Form 10K for the year ended December 31, 2016; |
2. | The Registrant’s Quarterly Report on Form 10Q for the quarter ended March 31, 2017 ; |
3. | The Registrant’s Current Reports on Form 8K filed with the Commission on January 19, 2017; |
4. | The Registrant’s definitive proxy statement on Schedule 14A filed with the Commission on April 11, 2017, and |
5. | The description of the Registrant’s common stock contained in the registration statement on Form S3 filed with the Commission on November 3, 2009 (File No. 333162823) under the section entitled “DESCRIPTION OF SECURITIES WE MAY OFFER Description of Common Stock,” including any amendment filed updating that section. |
3.1 | Second Amended and Restated Articles of Incorporation of Flagstar Bancorp, Inc. (previously filed as Exhibit 3.1 to the Registrant’s Annual Report on Form 10-K filed with the Commission on March 16, 2015 and incorporated herein by reference). |
3.2 | Sixth Amended and Restated Bylaws of Flagstar Bancorp, Inc. (previously filed as Exhibit 3.2 to the Registrant’s Current Report on Form 8K filed with the Commission on November 7, 2016, and incorporated herein by reference). |
5.1 | Opinion of Warner Norcross & Judd LLP. |
23.1 | Consent of PricewaterhouseCoopers, LLP. |
23.2 | Consent of Baker Tilly Virchow Krause, LLP. |
23.3 | Consent of Warner Norcross & Judd LLP (included in opinion filed as Exhibit 5.1). |
24.1 | Powers of Attorney (included on the signature page of this Registration Statement). |
99.1 | Flagstar Bancorp, Inc. Employee Stock Purchase Plan (previously filed as Annex A to the Registrant’s Definitive Proxy Statement on Schedule 14A, filed with the Commission on April 11, 2017 and incorporated herein by reference). |
A. | The undersigned registrant hereby undertakes: |
(1) | To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement: |
(i) | To include any prospectus required by Section 10(a)(3) of the Securities Act; |
(ii) | To reflect in the prospectus any facts or events arising after the effective date of this Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in this Registration Statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) under the Securities Act if, in the aggregate, the changes in volume and price represent no more than a 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective registration statement; and |
(iii) | To include any material information with respect to the plan of distribution not previously disclosed in this Registration Statement or any material change to such information in this Registration Statement. |
(2) | That, for the purpose of determining any liability under the Securities Act, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
(3) | To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. |
B. | The undersigned Registrant hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Registrant’s annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act (and, where applicable, each filing of an employee benefit plan’s annual report pursuant to Section 15(d) of the Exchange Act) that is incorporated by reference in this Registration Statement shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. |
C. | Insofar as indemnification for liabilities arising under the Securities Act may be permitted to directors, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that in the opinion of the Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a director, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue. |
FLAGSTAR BANCORP, INC. | ||||
By: | /s/ Alessandro P. DiNello | |||
Alessandro P. DiNello | ||||
President and Chief Executive Officer | ||||
(Principal Executive Officer) |
Title | Date | |||
/s/ Alessandro DiNello | Director, President and Chief Executive Officer | May 24, 2017 | ||
Alessandro DiNello | (Principal Executive Officer) | |||
/s/ James K. Ciroli | Executive Vice President and Chief Financial Officer | May 24, 2017 | ||
James K. Ciroli | (Principal Financial Officer) | |||
/s/ Bryan L. Marx | Senior Vice President and Chief Accounting Officer | May 24, 2017 | ||
Bryan L. Marx | (Principal Accounting Officer) | |||
/s/ John D. Lewis | Chairman | May 24, 2017 | ||
John D. Lewis | ||||
/s/ Jay J. Hansen | Director | May 24, 2017 | ||
Jay J. Hansen | ||||
/s/ David J. Matlin | Director | May 24, 2017 | ||
David J. Matlin | ||||
/s/ Bruce E. Nyberg | Director | May 24, 2017 | ||
Bruce E. Nyberg | ||||
/s/ James A. Ovenden | Director | May 24, 2017 | ||
James A. Ovenden | ||||
/s/ Peter Schoels | Director | May 24, 2017 | ||
Peter Schoels | ||||
/s/ David L. Treadwell | Director | May 24, 2017 | ||
David L. Treadwell | ||||
/s/ Jennifer R. Whip | Director | May 24, 2017 | ||
Jennifer R. Whip | ||||
3.1 | Second Amended and Restated Articles of Incorporation of Flagstar Bancorp, Inc. (previously filed as Exhibit 3.1 to the Registrant’s Annual Report on Form 10-K filed with the Commission on March 16, 2015 and incorporated herein by reference). |
3.2 | Sixth Amended and Restated Bylaws of Flagstar Bancorp, Inc. (previously filed as Exhibit 3.2 to the Registrant’s Current Report on Form 8K filed with the Commission on November 7, 2016, and incorporated herein by reference). |
5.1 | Opinion of Warner Norcross & Judd LLP. |
23.1 | Consent of PricewaterhouseCoopers, LLP. |
23.2 | Consent of Baker Tilly Virchow Krause, LLP. |
23.3 | Consent of Warner Norcross & Judd LLP (included in opinion filed as Exhibit 5.1). |
24.1 | Powers of Attorney (included on the signature page of this Registration Statement). |
99.1 | Flagstar Bancorp, Inc. Employee Stock Purchase Plan (previously filed as Annex A to the Registrant’s Definitive Proxy Statement on Schedule 14A, filed with the Commission on April 11, 2017 and incorporated herein by reference). |