Delaware (State or other jurisdiction of incorporation or organization) | 95-4766827 (IRS Employer Identification No.) |
3465 E. Foothill Blvd. Pasadena, California 91107 (Address of principal executive offices, including zip code) | (626) 765-2000 (Registrant's telephone number, including area code) |
2010 Equity Incentive Plan |
(Full Title of the Plans) |
Steven W. Streit President and Chief Executive Officer Green Dot Corporation 3465 E. Foothill Blvd. Pasadena, California 91107 |
(Name and Address of Agent For Service) |
(626) 765-2000 |
(Telephone Number, including area code, of agent for service) |
Large accelerated filer | þ | Accelerated filer | o | |
Non-accelerated filer | o | (Do not check if a smaller reporting company) | Smaller reporting company | o |
Emerging growth company | o |
Title of Securities To Be Registered | Amount To Be Registered (1) | Proposed Maximum Offering Price Per Share | Proposed Maximum Aggregate Offering Price | Amount of Registration Fee | |||||||||||
Class A Common Stock, $0.001 par value per share | 2,790,000 | (2) | $ | 46.39 | (3) | $ | 129,428,100 | (3) | $ | 15,001 | (4) | ||||
TOTAL | 2,790,000 | N/A | $ | 129,428,100 | $ | 15,001 |
(1) | Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of the Registrant’s Class A common stock that become issuable in respect of the securities identified in the above table by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the Registrant’s receipt of consideration which results in an increase in the number of the outstanding shares of the Registrant’s Class A common stock. |
(2) | Represents additional shares of the Registrant's Class A common stock reserved for issuance under the 2010 Equity Incentive Plan (the “2010 Plan”) and approved by the Company's stockholders on May 25, 2017. Shares available for issuance under the 2010 Plan were previously registered on a registration statement on Form S-8 filed with the Securities and Exchange Commission on July 22, 2010 (Registration No. 333-168283), May 11, 2012 (Registration No. 333-181326), May 9, 2013 (Registration No. 333-188495) and June 23, 2014 (Registration No. 333-196972). |
(3) | Estimated solely for the purposes of computing the amount of the registration fee under Rules 457(c) of the Securities Act on the basis of the average of the high and low prices of the Registrant’s Class A common stock as reported on the New York Stock Exchange on August 21, 2017. |
(4) | Calculated solely for the purposes of computing the amount of the registration fee under Rules 457(c) of the Securities Act on the basis of the average of the high and low prices of the Registrant’s Class A common stock as reported on the New York Stock Exchange on August 21, 2017. |
(a) | the Registrant’s Annual Report on Form 10-K for the quarterly period ended December 31, 2016 filed with the Commission on February 27, 2017 pursuant to Section 13(a) of the Exchange Act; |
(b) | all other reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of the fiscal year covered by the Registrant’s Annual Report referred to in (a) above; and |
(c) | the description of the Registrant’s common stock contained in the Registrant’s registration statement on Form 8-A (Registration No. 001-34819) filed on July 13, 2010 under Section 12(b) of the Exchange Act, including any amendment or report filed for the purpose of updating such description. |
• | for any breach of the director’s duty of loyalty to the Registrant or its stockholders; |
• | for acts or omissions not in good faith or that involve intentional misconduct or a knowing violation of law; |
• | under Section 174 of the Delaware General Corporation Law (regarding unlawful dividends and stock purchases); or |
• | for any transaction from which the director derived an improper personal benefit. |
• | the Registrant is required to indemnify its directors and officers to the fullest extent permitted by the Delaware General Corporation Law, subject to very limited exceptions; |
• | the Registrant may indemnify its other employees and agents as set forth in the Delaware General Corporation Law; |
• | the Registrant is required to advance expenses, as incurred, to its directors and officers in connection with a legal proceeding to the fullest extent permitted by the Delaware General Corporation Law, subject to limited exceptions; and |
• | the rights conferred in the amended and restated bylaws are not exclusive. |
Incorporated by Reference | ||||||||||||
Exhibit Number | Exhibit Title | Form | File No. | Exhibit | Date | Filed Herewith | ||||||
4.1 | S-1 | 333- 165081 | 3.02 | April 26, 2010 | ||||||||
4.2 | 8-K | 001- 34819 | 3.1 | May 31, 2017 | ||||||||
4.3 | 8-K | 001- 34819 | 3.1 | December 19, 2016 | ||||||||
4.4 | 8-K | 001- 34819 | 3.01 | December 14, 2011 | ||||||||
5.1 | X | |||||||||||
23.1 | X | |||||||||||
23.2 | X | |||||||||||
24.1 | X | |||||||||||
99.1 | 8-K | 001- 34819 | 10.1 | May 31, 2017 |
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 the 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 the Registration Statement. Notwithstanding the foregoing, any increase or decrease in the 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) 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; |
(iii) | To include any material information with respect to the plan of distribution not previously disclosed in the Registration Statement or any material change to such information in the 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 the 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 hereby, 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. |
Green Dot Corporation | ||||
Date: | August 25, 2017 | By: | /s/ Steven W. Streit | |
Name: | Steven W. Streit | |||
Title: | President and Chief Executive Officer |
Signature | Title | Date | ||
/s/ Steven W. Streit | President, Chief Executive Officer and Director (Principal Executive Officer) | August 25, 2017 | ||
Steven W. Streit | ||||
/s/ Mark L. Shifke | Chief Financial Officer (Principal Financial Officer) | August 25, 2017 | ||
Mark L. Shifke | ||||
/s/ Jess Unruh | Chief Accounting Officer (Principal Accounting Officer) | August 25, 2017 | ||
Jess Unruh | ||||
/s/ Kenneth C. Aldrich | Director | August 25, 2017 | ||
Kenneth C. Aldrich | ||||
/s/ J. Chris Brewster | Director | August 25, 2017 | ||
J. Chris Brewster | ||||
/s/ Glinda Bridgforth Hodges | Director | August 25, 2017 | ||
Glinda Bridgforth Hodges | ||||
/s/ Rajeev V. Date | Director | August 25, 2017 | ||
Rajeev V. Date | ||||
/s/ Saturnino Fanlo | Director | August 25, 2017 | ||
Saturnino Fanlo | ||||
/s/ George W. Gresham | Director | August 25, 2017 | ||
George W. Gresham | ||||
/s/ William I. Jacobs | Chairman | August 25, 2017 | ||
William I. Jacobs | ||||
/s/ George T. Shaheen | Director | August 25, 2017 | ||
George T. Shaheen |
Incorporated by Reference | ||||||||||||
Exhibit Number | Exhibit Title | Form | File No. | Exhibit | Date | Filed Herewith | ||||||
4.1 | S-1 | 333- 165081 | 3.02 | April 26, 2010 | ||||||||
4.2 | 8-K | 001- 34819 | 3.1 | May 31, 2017 | ||||||||
4.3 | 8-K | 001- 34819 | 3.1 | December 19, 2016 | ||||||||
4.4 | 8-K | 001- 34819 | 3.01 | December 14, 2011 | ||||||||
5.1 | X | |||||||||||
23.1 | X | |||||||||||
23.2 | X | |||||||||||
24.1 | X | |||||||||||
99.1 | 8-K | 001- 34819 | 10.1 | May 31, 2017 |