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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:14pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15(d) of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center">Date of Report (Date of earliest event Reported): January&nbsp;4, 2019 </P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Lakeland Bancorp, Inc. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">(Exact Name of Registrant as Specified in Charter) </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>NEW JERSEY</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">000-17820</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">22-2953275</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center">(State or Other Jurisdiction of Incorporation)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">(Commission File Number)</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center">(I.R.S. Employer Identification Number)</TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>250 Oak Ridge Road, Oak Ridge, New Jersey 07438 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">(Address of Principal Executive Offices) (Zip Code) </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(973) <FONT STYLE="white-space:nowrap">697-2000</FONT> </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">(Registrant&#146;s telephone number, including area code) </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center">(Former name or former address, if changed since last report) </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions: </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &#167;230.405) or <FONT
STYLE="white-space:nowrap">Rule&nbsp;12b-2&nbsp;of</FONT> the Securities Exchange Act of 1934 (17 <FONT STYLE="white-space:nowrap">CFR&nbsp;&#167;240.12b-2).&nbsp;Emerging</FONT> growth company &#9744; </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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&nbsp;13(a) of the Exchange Act. &#9744; </P> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>
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<TD WIDTH="9%" VALIGN="top" ALIGN="left"><B>Item&nbsp;8.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Other Events. </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">As of the close of business on January&nbsp;4, 2019 (the &#147;Effective Time&#148;), Lakeland Bancorp, Inc. (&#147;Lakeland&#148;) consummated
its acquisition of Highlands Bancorp, Inc. (&#147;Highlands&#148;) pursuant to the Agreement and Plan of Merger, dated as of August&nbsp;23, 2018, by and between Lakeland and Highlands (the &#147;Merger Agreement&#148;). At the Effective Time,
Highlands merged with and into Lakeland, with Lakeland continuing as the surviving entity (the &#147;Merger&#148;), and shortly thereafter, Highlands State Bank, a New Jersey-chartered commercial bank and previously a wholly-owned subsidiary of
Highlands (&#147;Highlands State Bank&#148;), merged with and into Lakeland Bank, a New Jersey-chartered commercial bank and a wholly-owned subsidiary of Lakeland (&#147;Lakeland Bank&#148;), with Lakeland Bank continuing as the surviving bank (the
&#147;Bank Merger&#148; and, collectively, with the Merger, the &#147;Mergers&#148;). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Subject to the terms and conditions of the Merger
Agreement, at the Effective Time, each share of Highlands common stock issued and outstanding immediately prior to the Effective Time was converted into and became the right to receive 1.015 shares of Lakeland common stock. Cash will be paid in lieu
of fractional shares. In the aggregate, Lakeland paid approximately 2.8&nbsp;million shares of Lakeland common stock in the Merger. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Former shareholders of Highlands will be receiving Letters of Transmittal pursuant to which they may tender their Highlands common stock
certificates in exchange for their portion of the Merger consideration. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the terms of the Merger Agreement, all stock options
to purchase Highlands common stock outstanding immediately prior to the Effective Time, which we refer to as &#147;old stock options,&#148; were forfeited or, if the holders executed and delivered prior to the Effective Time an option cancellation
agreement, in form and substance reasonably satisfactory to Lakeland, cancelled in exchange for a payment by Lakeland equal to (x)&nbsp;the number of shares of Highlands common stock covered by the old stock option immediately prior to the Effective
Time multiplied by (y)&nbsp;the amount, if any, by which the average (rounded to four decimals) of the daily closing sales prices of Lakeland common stock for the 20 consecutive full trading days ending at the close of trading on the date
immediately preceding the Effective Time, exceeds the exercise price of such old stock option. Lakeland expects to pay approximately $800,000 in the aggregate in connection with the cancellation of the old stock options. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On January&nbsp;4, 2019, Lakeland disseminated a press release announcing the closing of the Mergers. A copy of the press release is attached
as Exhibit 99.1 to this Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> and is incorporated by reference into this Item&nbsp;8.01. </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Cautionary Statements Regarding Forward-Looking Information </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">This Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> (including Exhibit 99.1 hereto) contains forward-looking statements
that are made in reliance upon the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. The words &#147;anticipates&#148;, &#147;projects&#148;, &#147;intends&#148;, &#147;estimates&#148;, &#147;expects&#148;,
&#147;believes&#148;, &#147;plans&#148;, &#147;may&#148;, &#147;will&#148;, &#147;should&#148;, &#147;could&#148; and other similar expressions are intended to identify such forward looking statements. These forward-looking statements are
necessarily speculative and speak only as of the date made, and are subject to numerous assumptions, risks and uncertainties, all of which may change over time. Actual results could differ materially from such forward-looking statements. The
following factors, among others, could cause actual results to differ materially and adversely from such forward-looking statements: any difficulties experienced by Lakeland in integrating Highlands&#146;s business with its own; material adverse
changes in the combined company&#146;s operations or earnings; decline in the economy in the combined company&#146;s primary market areas; as well as the risk factors set forth in the proxy statement and prospectus filed by Lakeland with the
Securities and Exchange Commission in connection with the Merger, and in Lakeland&#146;s Annual Report on Form <FONT STYLE="white-space:nowrap">10-K</FONT> for the year ended December&nbsp;31, 2017 and other periodic filings made by Lakeland with
the Commission. Lakeland assumes no obligation for updating any such forward-looking statements at any time. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="9%" VALIGN="top" ALIGN="left"><B>Item&nbsp;9.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Financial Statements and Exhibits </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">(d)<U>&nbsp;Exhibits</U>. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; "><B>Exhibit<BR>Number</B></P></TD>
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<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>Exhibit&nbsp;99.1</TD>
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<TD VALIGN="top"><A HREF="d649641dex991.htm">Press Release of Lakeland Bancorp, Inc., dated January&nbsp;4, 2019. </A></TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURE </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="bottom" COLSPAN="5"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; margin-left:1.00em; text-indent:-1.00em; font-size:10pt; font-family:Times New Roman"><B>Lakeland Bancorp, Inc.</B></P></TD></TR>
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<TD VALIGN="top">Date: January&nbsp;4, 2019</TD>
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<TD VALIGN="top">By:</TD>
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<TD VALIGN="top" COLSPAN="3" STYLE="BORDER-BOTTOM:1px solid #000000">/s/ Timothy J. Matteson</TD></TR>
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<TD VALIGN="bottom">Name:</TD>
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<TD VALIGN="bottom">Timothy J. Matteson</TD></TR>
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<TD VALIGN="bottom"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Executive Vice President,</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Chief
Administrative Officer,</P> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman">General Counsel and Corporate Secretary</P></TD></TR>
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{"company-data": {"conformed-name": "LAKELAND BANCORP INC", "cik": "0000846901", "assigned-sic": "6022", "irs-number": "222953275", "state-of-incorporation": "NJ", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "000-17820", "film-number": "19511002"}, "business-address": {"street1": "250 OAK RIDGE RD", "city": "OAK RIDGE", "state": "NJ", "zip": "07438", "phone": "9736972000"}, "mail-address": {"street1": "250 OAK RIDGE RD", "city": "OAKRIDGE", "state": "NJ", "zip": "07438"}}
Form 8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event Reported): January 4, 2019
Lakeland Bancorp, Inc.
(Exact Name of Registrant as Specified in Charter)
NEW JERSEY
000-17820
22-2953275
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
(I.R.S. Employer Identification Number)
250 Oak Ridge Road, Oak Ridge, New Jersey 07438
(Address of Principal Executive Offices) (Zip Code)
(973)
697-2000
(Registrant's telephone number, including area code)
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
☐
Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
☐
Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or
Rule 12b-2 of
the Securities Exchange Act of 1934 (17
CFR §240.12b-2). Emerging
growth company ☐
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 13(a) of the Exchange Act. ☐
Item 8.01.
Other Events.
As of the close of business on January 4, 2019 (the "Effective Time"), Lakeland Bancorp, Inc. ("Lakeland") consummated
its acquisition of Highlands Bancorp, Inc. ("Highlands") pursuant to the Agreement and Plan of Merger, dated as of August 23, 2018, by and between Lakeland and Highlands (the "Merger Agreement"). At the Effective Time,
Highlands merged with and into Lakeland, with Lakeland continuing as the surviving entity (the "Merger"), and shortly thereafter, Highlands State Bank, a New Jersey-chartered commercial bank and previously a wholly-owned subsidiary of
Highlands ("Highlands State Bank"), merged with and into Lakeland Bank, a New Jersey-chartered commercial bank and a wholly-owned subsidiary of Lakeland ("Lakeland Bank"), with Lakeland Bank continuing as the surviving bank (the
"Bank Merger" and, collectively, with the Merger, the "Mergers").
Subject to the terms and conditions of the Merger
Agreement, at the Effective Time, each share of Highlands common stock issued and outstanding immediately prior to the Effective Time was converted into and became the right to receive 1.015 shares of Lakeland common stock. Cash will be paid in lieu
of fractional shares. In the aggregate, Lakeland paid approximately 2.8 million shares of Lakeland common stock in the Merger.
Former shareholders of Highlands will be receiving Letters of Transmittal pursuant to which they may tender their Highlands common stock
certificates in exchange for their portion of the Merger consideration.
Pursuant to the terms of the Merger Agreement, all stock options
to purchase Highlands common stock outstanding immediately prior to the Effective Time, which we refer to as "old stock options," were forfeited or, if the holders executed and delivered prior to the Effective Time an option cancellation
agreement, in form and substance reasonably satisfactory to Lakeland, cancelled in exchange for a payment by Lakeland equal to (x) the number of shares of Highlands common stock covered by the old stock option immediately prior to the Effective
Time multiplied by (y) the amount, if any, by which the average (rounded to four decimals) of the daily closing sales prices of Lakeland common stock for the 20 consecutive full trading days ending at the close of trading on the date
immediately preceding the Effective Time, exceeds the exercise price of such old stock option. Lakeland expects to pay approximately $800,000 in the aggregate in connection with the cancellation of the old stock options.
On January 4, 2019, Lakeland disseminated a press release announcing the closing of the Mergers. A copy of the press release is attached
as Exhibit 99.1 to this Current Report on Form
8-K
and is incorporated by reference into this Item 8.01.
Cautionary Statements Regarding Forward-Looking Information
This Current Report on Form
8-K
(including Exhibit 99.1 hereto) contains forward-looking statements
that are made in reliance upon the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. The words "anticipates", "projects", "intends", "estimates", "expects",
"believes", "plans", "may", "will", "should", "could" and other similar expressions are intended to identify such forward looking statements. These forward-looking statements are
necessarily speculative and speak only as of the date made, and are subject to numerous assumptions, risks and uncertainties, all of which may change over time. Actual results could differ materially from such forward-looking statements. The
following factors, among others, could cause actual results to differ materially and adversely from such forward-looking statements: any difficulties experienced by Lakeland in integrating Highlands's business with its own; material adverse
changes in the combined company's operations or earnings; decline in the economy in the combined company's primary market areas; as well as the risk factors set forth in the proxy statement and prospectus filed by Lakeland with the
Securities and Exchange Commission in connection with the Merger, and in Lakeland's Annual Report on Form
10-K
for the year ended December 31, 2017 and other periodic filings made by Lakeland with
the Commission. Lakeland assumes no obligation for updating any such forward-looking statements at any time.
Item 9.01.
Financial Statements and Exhibits
(d)
Exhibits
.
Exhibit
Number
Description
Exhibit 99.1
Press Release of Lakeland Bancorp, Inc., dated January 4, 2019.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
Lakeland Bancorp, Inc.
Date: January 4, 2019
By:
/s/ Timothy J. Matteson
Name:
Timothy J. Matteson
Title:
Executive Vice President,
Chief
Administrative Officer,
General Counsel and Corporate Secretary
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