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    SEC Form SC 13D/A filed by Republic First Bancorp Inc. (Amendment)

    9/11/23 2:30:55 PM ET
    $FRBK
    Major Banks
    Finance
    Get the next $FRBK alert in real time by email
    SC 13D/A 1 d506153dsc13da.htm SC 13D/A SC 13D/A

     

     

    UNITED STATES

    SECURITIES AND EXCHANGE COMMISSION

    Washington, D.C. 20549

     

     

    Schedule 13D/A

    (Rule 13d-101)

    Information to be Included in Statements Filed Pursuant to § 240.13d-1(a) and Amendments Thereto Filed

    Pursuant to § 240.13d-2(a)

    Under the Securities Exchange Act of 1934

    (Amendment No. 39)*

     

     

    Republic First Bancorp, Inc.

    (Name of Issuer)

    Common Stock, par value $0.01 per share

    (Title of Class of Securities)

    760416107

    (CUSIP Number)

    George E. Norcross, III

    218 Royal Palm Way, Suite 200

    Palm Beach, Florida 33480

    (561) 500-4600

    With a Copy to:

    H. Rodgin Cohen

    Mitchell S. Eitel

    Sullivan & Cromwell LLP

    125 Broad Street

    New York, NY 10004

    212-558-4000

    (Name, address and telephone number of person authorized to receive notices and communications)

    September 11, 2023

    (Date of Event which Requires Filing of this Statement)

     

     

    If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box  ☐.

     

     

    Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See § 240.13d-7 for other parties to whom copies are to be sent.

     

     

    *

    The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

    The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

     

     

     


    CUSIP No. 760416107    SCHEDULE 13D   

     

      1    

      Names of Reporting Persons

     

      George E. Norcross, III

      2  

      Check the Appropriate Box If a Member of a Group (See Instructions)

      a.  ☒        b.  ☐

     

      3  

      SEC Use Only

     

      4  

      Source of Funds (See Instructions)

     

      PF

      5  

      Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

      ☐

      6  

      Citizenship or Place of Organization

     

      United States of America

    Number of

    Shares

     Beneficially 

    Owned By

    Each

    Reporting

    Person

    With

     

         7     

      Sole Voting Power

     

      746,122

         8   

      Shared Voting Power

     

      0

         9   

      Sole Dispositive Power

     

      746,122

       10   

      Shared Dispositive Power

     

      0

    11    

      Aggregate Amount Beneficially Owned by Each Reporting Person

     

      746,122 (1)

    12  

      Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

     

      ☐

    13  

      Percent of Class Represented By Amount in Row (11)

     

      1.1%(2)

    14  

      Type of Reporting Person (See Instructions)

     

      IN

     

    (1)

    The Reporting Person is reporting on this Schedule 13D as a member of a “group” with the other Reporting Persons. The group beneficially owns 6,984,343 shares of Common Stock owned by all of the Reporting Persons in the aggregate, representing approximately 9.95% of the outstanding shares of Common Stock. See Item 5 of this Schedule 13D.

    (2)

    For purposes of calculating beneficial ownership percentages in this statement on Schedule 13D, the total number of shares of Common Stock outstanding as of August 3, 2023 is 70,183,407, as reported by the Issuer in its Current Report on Form 8-K, filed with the SEC on August 7, 2023.


    CUSIP No. 760416107    SCHEDULE 13D   

     

      1    

      Names of Reporting Persons

     

      Philip A. Norcross

      2  

      Check the Appropriate Box If a Member of a Group (See Instructions)

      a.  ☒        b.  ☐

     

      3  

      SEC Use Only

     

      4  

      Source of Funds (See Instructions)

     

      PF

      5  

      Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

      ☐

      6  

      Citizenship or Place of Organization

     

      United States of America

    Number of

    Shares

     Beneficially 

    Owned By

    Each

    Reporting

    Person

    With

     

         7     

      Sole Voting Power

     

      497,000

         8   

      Shared Voting Power

     

      0

         9   

      Sole Dispositive Power

     

      497,000

       10   

      Shared Dispositive Power

     

      0

    11    

      Aggregate Amount Beneficially Owned by Each Reporting Person

     

      497,000(1)

    12  

      Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

     

      ☐

    13  

      Percent of Class Represented By Amount in Row (11)

     

      0.7%(2)

    14  

      Type of Reporting Person (See Instructions)

     

      IN


    CUSIP No. 760416107    SCHEDULE 13D   

     

      1    

      Names of Reporting Persons

     

      Gregory B. Braca

      2  

      Check the Appropriate Box If a Member of a Group (See Instructions)

      a.  ☒        b.  ☐

     

      3  

      SEC Use Only

     

      4  

      Source of Funds (See Instructions)

     

      PF

      5  

      Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

      ☐

      6  

      Citizenship or Place of Organization

     

      United States of America

    Number of

    Shares

     Beneficially 

    Owned By

    Each

    Reporting

    Person

    With

     

         7     

      Sole Voting Power

     

      511,659

         8   

      Shared Voting Power

     

      0

         9   

      Sole Dispositive Power

     

      511,659

       10   

      Shared Dispositive Power

     

      0

    11    

      Aggregate Amount Beneficially Owned by Each Reporting Person

     

      511,659(1)

    12  

      Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

     

      ☐

    13  

      Percent of Class Represented By Amount in Row (11)

     

      0.7%(2)

    14  

      Type of Reporting Person (See Instructions)

     

      IN


    CUSIP No. 760416107    SCHEDULE 13D   

     

      1    

      Names of Reporting Persons

     

      Alessandra T. Norcross

      2  

      Check the Appropriate Box If a Member of a Group (See Instructions)

      a.  ☒        b.  ☐

     

      3  

      SEC Use Only

     

      4  

      Source of Funds (See Instructions)

     

      PF

      5  

      Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

      ☐

      6  

      Citizenship or Place of Organization

     

      United States of America

    Number of

    Shares

     Beneficially 

    Owned By

    Each

    Reporting

    Person

    With

     

         7     

      Sole Voting Power

     

      2,614,781

         8   

      Shared Voting Power

     

      0

         9   

      Sole Dispositive Power

     

      2,614,781

       10   

      Shared Dispositive Power

     

      0

    11    

      Aggregate Amount Beneficially Owned by Each Reporting Person

     

      2,614,781(1)

    12  

      Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

     

      ☐

    13  

      Percent of Class Represented By Amount in Row (11)

     

      3.7%(2)

    14  

      Type of Reporting Person (See Instructions)

     

      IN


    CUSIP No. 760416107    SCHEDULE 13D   

     

      1    

      Names of Reporting Persons

     

      Alexander S. Norcross

      2  

      Check the Appropriate Box If a Member of a Group (See Instructions)

      a.  ☒        b.  ☐

     

      3  

      SEC Use Only

     

      4  

      Source of Funds (See Instructions)

     

      PF

      5  

      Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

     

      ☐

      6  

      Citizenship or Place of Organization

     

      United States of America

    Number of

    Shares

     Beneficially 

    Owned By

    Each

    Reporting

    Person

    With

     

         7     

      Sole Voting Power

     

      2,614,781

         8   

      Shared Voting Power

     

      0

         9   

      Sole Dispositive Power

     

      2,614,781

       10   

      Shared Dispositive Power

     

      0

    11    

      Aggregate Amount Beneficially Owned by Each Reporting Person

     

      2,614,781 (1)

    12  

      Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

     

      ☐

    13  

      Percent of Class Represented By Amount in Row (11)

     

      3.7%(2)

    14  

      Type of Reporting Person (See Instructions)

     

      IN


    This Amendment No. 39 (“Amendment No. 39”) amends the statement on Schedule 13D filed with the Securities and Exchange Commission (the “SEC”) on January 31, 2022, as amended prior to the date of this Amendment No. 39 (the “Original Schedule 13D”) as specifically set forth herein (as so amended, the “Schedule 13D”). Except as provided herein, each Item of the Original Schedule 13D remains unchanged.

     

    Item 4.

    Purpose of the Transaction.

    Item 4 of the Original Schedule 13D is hereby amended to add the following immediately prior to the last paragraph of this item:

    On September 11, 2023, the Reporting Persons issued the attached press release confirming that the Reporting Persons support the Issuer’s ongoing efforts to raise additional capital.

     

    Item 7.

    Material to be Filed as Exhibits.

    Item 7 of the Original Schedule 13D is hereby amended to add the following exhibit:

     

    Exhibit
    Number
      Description
    7(o)   Press Release, dated September 11, 2023


    SIGNATURES

    After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

    Dated: September 11, 2023

     

    George E. Norcross, III
    By:  

    /s/ George E. Norcross, III

    Phillip A. Norcross
    By:  

    /s/ Philip A. Norcross

    Gregory B. Braca
    By:  

    /s/ Gregory B. Braca

    Alessandra T. Norcross
    By:  

    /s/ Alessandra T. Norcross

    Alexander S. Norcross
    By:  

    /s/ Alexander S. Norcross

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