SEC Status; Securities Issuances. The Bank is not and has not been subject to the reporting provisions of Sections 12 or 15(d) of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), or the rules and regulations of the Securities and Exchange Commission (“SEC”) promulgated under the Exchange Act. All issuances of securities by the Bank were conducted in compliance with the provisions of all applicable securities laws and regulations.
SEC Status; Securities Issuances. The Company is not subject to the registration provisions of Section 12 of the Exchange Act nor the rules and regulations of the SEC promulgated under Section 12 of the Exchange Act, other than anti-fraud provisions of such act. All issuances of securities by the Company have been registered under the Securities Act, the Securities Act of the State of Texas, and all other applicable laws or were exempt from any such registration requirements.
SEC Status; Securities Issuances. Neither Parent nor Merger Sub is nor has been subject to the reporting provisions of Sections 12 or 15(d) of the Exchange Act, or the rules and regulations of the SEC promulgated under the Exchange Act. All issuances of securities by Parent and Merger Sub were conducted in compliance with the provisions of all applicable securities laws and regulations.
SEC Status; Securities Issuances. Oakwood is not subject to the registration provisions of Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor the rules and regulations of the SEC promulgated under Section 12 of the Exchange Act, other than anti-fraud provisions of such act. All issuances of securities by Oakwood and any of its Subsidiaries have been registered under the Securities Act, applicable state securities laws, and all other applicable laws or were exempt from any such registration requirements.
SEC Status; Securities Issuances. University is not subject to the registration provisions of Section 12 of the Exchange Act nor the rules and regulations of the SEC promulgated under Section 12 of the Exchange Act. All issuances of securities by University and the Bank have been registered under the Securities Act, the Securities Act of the State of Texas, the Texas Banking Act, and all other applicable laws or were exempt from any such registration requirements.
SEC Status; Securities Issuances. Beeville is not subject to the registration provisions of Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), nor the rules and regulations of the SEC promulgated under Section 12 of the Exchange Act, other than anti-fraud provisions of such act. All issuances of securities by Beeville and any of its Subsidiaries have been registered under the Securities Act, applicable state securities laws, and all other applicable laws or were exempt from any such registration requirements.
SEC Status; Securities Issuances. Mercantile is not subject to the registration provisions of Section 12 of the Securities Exchange Act nor the rules and regulations of the SEC promulgated under Section 12 of the Securities Exchange Act, other than anti-fraud provisions of such Act. All issuance of securities by Mercantile and its Subsidiaries have been exempt from registration requirements under the Securities Act and the Securities Act of the State of Texas, and have been accomplished in all respects in compliance with the TBA and all other applicable laws.
SEC Status; Securities Issuances. Neither of the Cedar Creek Companies is or has been subject to the reporting provisions of Sections 12 or 15(d) of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), or the rules and regulations of the SEC promulgated under the Exchange Act. All issuances of securities by the Cedar Creek Companies were conducted in compliance with the provisions of all applicable securities laws and regulations. Cedar Creek is not an “issuing public corporation” within the meaning of Article 13.02 of the TBCA.
SEC Status; Securities Issuances. Mainland Bank is not subject to the registration provisions of Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) nor the rules and regulations of the Securities and Exchange Commission (“SEC”) promulgated under Section 12 of the Exchange Act, other than anti-fraud provisions of such act. All issuances of securities by Mainland Bank have been registered under the Securities Act of 1933 (the “Securities Act”) and/or the Securities Act of the State of Texas, and all other applicable laws, or were exempt from any such registration requirements.
SEC Status; Securities Issuances. The Parent is subject to the reporting provisions of Section 15(d) of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations of the SEC promulgated under the Exchange Act. All issuances of securities by the Parent and its Subsidiaries and Affiliates were conducted in compliance with the provisions of all applicable securities laws and regulations.
