YAVY » Topics » (d) Exhibits.

This excerpt taken from the YAVY 8-K filed Sep 25, 2009.

Item 9.01:  Exhibits

 

Exhibit 99.1: Press Release

 

Signatures

 

Pursuant to the requirements of the Securities and Exchange Act of 1934, the Bank has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

By:

/s/Jan H. Hollar

 

 

Jan H. Hollar

 

 

Chief Financial Officer

 

 

 

 

Date:

September 21, 2009

 

2


This excerpt taken from the YAVY 8-K filed Jul 27, 2009.

(d) Exhibits.

 

The following exhibit is being filed as part of this Report on Form 8-K:

 

3.1

 

Articles of Amendment to the Company’s Restated Articles of Incorporation establishing the terms of the Series T-ACB Preferred Stock.

 

 

 

4.1

 

Warrant to Purchase up to 13,312 shares of Common Stock.

 

 

 

4.2

 

Form of Series T-ACB Preferred Stock Certificate.

 

 

 

10.1

 

Letter Agreement, dated July 24, 2009, including Securities Purchase Agreement — Standard Terms incorporated by reference therein, between the Company and the United States Department of the Treasury.

 

 

 

10.2

 

ARRA Side Letter Agreement, dated July 24, 2009, between the Company and the United States Department of the Treasury.

 

 

 

10.3

 

Form of Waiver, executed by each of Messrs. John M. Brubaker, Edwin E. Laws, William A. Long, John W. Mallard, and Steven S. Robinson.

 

 

 

10.4

 

Form of Letter Amendment, executed by each of Messrs. John M. Brubaker, Edwin E. Laws, William A. Long, John W. Mallard, Jr., and Steven S. Robinson with the Company.

 

4



 

This excerpt taken from the YAVY 8-K filed Jul 7, 2009.

Item 9.01:  Exhibits

 

Exhibit 99: Press Release

 

Signatures

 

Pursuant to the requirements of the Securities and Exchange Act of 1934, the Bank has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

 

By:

\s\Edwin E. Laws

 

 

Edwin E. Laws

 

 

Chief Financial Officer

 

 

 

 

Date:

June 30, 2009

 

2


This excerpt taken from the YAVY 10-Q filed May 12, 2009.
Item 6.  Exhibits

 

Exhibit #

 

Description

3.1

 

Amended and Restated Articles of Incorporation (incorporated by reference to Exhibit 3(i) to the Current Report on Form 8K dated July 1, 2006)

 

 

 

3.2

 

Amended and Restated Bylaws (incorporated by reference to Exhibit 3.1 of the Form 8-K filed by December 19, 2008)

 

 

 

3.3

 

Articles of Amendment to the Company’s Restated Articles of Incorporation establishing the terms of the Series T Preferred Stock (incorporated by reference to the Company’s Form 8-K filed January 20, 2009 as Exhibit 3.1

 

 

 

31.1

 

Rule 13a-14(a)/15d-14(a) Certification

 

 

 

31.2

 

Rule 13a-14(a)/15d-14(a) Certification

 

 

 

32

 

Section 1350 Certification

 

Yadkin Valley Financial Corporation

Form 10-Q Quarterly Report March 31, 2009

 

33



Table of Contents

 

Signatures

 

Pursuant to the requirements of Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

Yadkin Valley Financial Corporation

 

 

 

BY:

/s/ William A. Long

 

William A. Long, President and Chief Executive Officer

 

[Principal Executive Officer]

 

 

 

BY:

/s/ Edwin E. Laws

 

Edwin E. Laws, Executive Vice President and Chief Financial Officer

[Principal Financial Officer]

 

 

 

May 12, 2009

 

 

Yadkin Valley Financial Corporation

Form 10-Q Quarterly Report March 31, 2009

 

34


This excerpt taken from the YAVY 8-K filed Mar 23, 2009.
Item 9.01:  Exhibits

 

Exhibit 99: Press Release

 

Signatures

 

Pursuant to the requirements of the Securities and Exchange Act of 1934, the Bank has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

By:

\s\Edwin E. Laws

 

 

 Edwin E. Laws

 

 

 Chief Financial Officer

 

 

 

 

Date:

 March 23, 2009

 

2


This excerpt taken from the YAVY 8-K filed Feb 19, 2009.

Item 9.01(d): Exhibits

 

(d)        Exhibits:

 

Exhibit 99.1:                                                         Transcript of conference call held on February 13, 2009.

 

Signatures

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

 

By:

\s\Edwin E. Laws

 

 

 Edwin E. Laws

 

 

 Chief Financial Officer

 

 

 

 

Date:

 February 18, 2009

 

2


This excerpt taken from the YAVY 8-K filed Feb 13, 2009.

Item 9.01(d): Exhibits

 

(a)          Financial statements:

None

(b)         Pro forma financial information:

None

(c)          Shell company transactions:

None

(d)         Exhibits:

Exhibit 99.1:                                                         Press Release of Yadkin Valley Financial Corporation dated February 13, 2009.

 

Signatures

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

 

By:

\s\Edwin E. Laws

 

 

Edwin E. Laws

 

 

Chief Financial Officer

 

 

 

 

Date:

February 13, 2009

 

2


This excerpt taken from the YAVY 8-K filed Feb 13, 2009.

Item 9.01(d): Exhibits

 

(a)          Financial statements:

None

(b)         Pro forma financial information:

None

(c)          Shell company transactions:

None

(d)         Exhibits:

Exhibit 99.1:                                                         Press Release of Yadkin Valley Financial Corporation dated February 13, 2009.

 

Signatures

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

 

By:

\s\Edwin E. Laws

 

 

Edwin E. Laws

 

 

Chief Financial Officer

 

 

 

 

Date:

February 13, 2009

 

2


This excerpt taken from the YAVY 8-K filed Feb 10, 2009.

Item 9.01:  Exhibits

 

Exhibit 99: Press Release

 

Signatures

 

Pursuant to the requirements of the Securities and Exchange Act of 1934, the Bank has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

Yadkin Valley Financial Corporation

 

 

 

 

 

 

 

By:

\s\Edwin E. Laws

 

 

 Edwin E. Laws

 

 

 Chief Financial Officer

 

 

 

 

Date:

February 9, 2009

 

2


This excerpt taken from the YAVY 8-K filed Jan 20, 2009.

(d) Exhibits.

 

The following exhibit is being filed as part of this Report on Form 8-K:

 

3.1    Articles of Amendment to the Company’s Restated Articles of Incorporation establishing the terms of the Series T Preferred Stock

 

3



 

4.1    Warrant to Purchase up to 385,990 shares of Common Stock.

 

4.2    Form of Series T Preferred Stock Certificate

 

10.1    Letter Agreement, dated January 16, 2009, including Securities Purchase Agreement – Standard Terms incorporated by reference therein, between the Company and the United States Department of the Treasury.

 

10.2    Form of Waiver, executed by each of Messrs. John M. Brubaker, Joe K. Johnson, Edwin E. Laws, William A. Long, John W. Mallard, Jr., Edward L. Marxen, Steven S. Robinson, and Joseph H. Towell.

 

10.3    Form of Letter Agreement, executed by each of Messrs. John M. Brubaker, Joe K. Johnson, Edwin E. Laws, William A. Long, John W. Mallard, Jr., Edward L. Marxen, Steven S. Robinson, and Joseph H. Towell with the Company.

 

99.1    Press Release

 

4



 

This excerpt taken from the YAVY 8-K filed Sep 10, 2008.
“Exhibits” means the Exhibits so marked, copies of which are attached to this Agreement. Such Exhibits are hereby incorporated by reference herein and made a part hereof, and may be referred to in this Agreement and any other related instrument or document without being attached hereto or thereto.

 

65



 

FDIC” shall mean the Federal Deposit Insurance Corporation.

 

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