Eagle Bancorp Inc.

10/09/2024 | Press release | Distributed by Public on 10/09/2024 12:05

Notice of Sales of Unregistered Securities - Form D

SEC FORM D

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
X None
Entity Type
0001050441
X Corporation
Limited Partnership
Limited Liability Company
General Partnership
Business Trust
Other (Specify)

Name of Issuer
EAGLE BANCORP INC
Jurisdiction of Incorporation/Organization
MARYLAND
Year of Incorporation/Organization
X Over Five Years Ago
Within Last Five Years (Specify Year)
Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
EAGLE BANCORP INC
Street Address 1 Street Address 2
7830 OLD GEORGETOWN ROAD 3RD FLOOR
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
BETHESDA MARYLAND 20814 3019861800

3. Related Persons

Last Name First Name Middle Name
BROCKWELL MATHEW D
Street Address 1 Street Address 2
1816 COVENTRY LN
City State/Province/Country ZIP/PostalCode
NICHOLS HILLS OKLAHOMA 73120
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Freidkin Steven J
Street Address 1 Street Address 2
11819 PINEY GLEN LN
City State/Province/Country ZIP/PostalCode
POTOMAC MARYLAND 20854
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
LA PLACA THERESA G
Street Address 1 Street Address 2
2131 SHERWOOD AVE
City State/Province/Country ZIP/PostalCode
CHARLOTTE NORTH CAROLINA 28207
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
LUDWIG A. LESLIE
Street Address 1 Street Address 2
1201 N ROYAL ST UNIT 702
City State/Province/Country ZIP/PostalCode
ALEXANDRIA VIRGINIA 22314
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
POZEZ NORMAN R
Street Address 1 Street Address 2
2132 BANCROFT PLACE NW
City State/Province/Country ZIP/PostalCode
WASHINGTON DISTRICT OF COLUMBIA 20008
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
RAFFA KATHY A
Street Address 1 Street Address 2
7791 N PROMONTORY RANCH RD
City State/Province/Country ZIP/PostalCode
PARK CITY UTAH 84098
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
RIEL SUSAN G
Street Address 1 Street Address 2
688 RIDGE RD
City State/Province/Country ZIP/PostalCode
MT. AIRY MARYLAND 21771
Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
SOLTESZ JAMES A
Street Address 1 Street Address 2
8608 WHITE POST CT
City State/Province/Country ZIP/PostalCode
POTOMAC MARYLAND 20854
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
SOTO BENJAMIN M
Street Address 1 Street Address 2
3240 FESSENDEN ST NW
City State/Province/Country ZIP/PostalCode
WASHINGTON DISTRICT OF COLUMBIA 20008
Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
NEWELL ERIC R
Street Address 1 Street Address 2
4900 MOORLAND LN APT 118
City State/Province/Country ZIP/PostalCode
BETHESDA MARYLAND 20814
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
LEVINGSTON CHARLES D
Street Address 1 Street Address 2
10911 LAMPLIGHTER LN
City State/Province/Country ZIP/PostalCode
POTOMAC MARYLAND 20854
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
RHEAUME LINDSEY S
Street Address 1 Street Address 2
1457 WINDSOR WAY
City State/Province/Country ZIP/PostalCode
MANAKIN-SABOT VIRGINIA 23103
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
RIEL RYAN A
Street Address 1 Street Address 2
7019 TILDEN LN
City State/Province/Country ZIP/PostalCode
ROCKVILLE MARYLAND 20852
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
SALTZMAN PAUL
Street Address 1 Street Address 2
80 SULGRAVE RD
City State/Province/Country ZIP/PostalCode
SCARSDALE NEW YORK 10583
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
WILLIAMS JANICE L
Street Address 1 Street Address 2
9712 BEMAN WOODS WAY
City State/Province/Country ZIP/PostalCode
POTOMAC MARYLAND 20854
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
GEOGHEGAN KEVIN
Street Address 1 Street Address 2
629 N MAIN STREET
City State/Province/Country ZIP/PostalCode
NAPERVILLE ILLINOIS 60563
Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture
Banking & Financial Services
X Commercial Banking
Insurance
Investing
Investment Banking
Pooled Investment Fund
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
Yes No
Other Banking & Financial Services
Business Services
Energy
Coal Mining
Electric Utilities
Energy Conservation
Environmental Services
Oil & Gas
Other Energy
Health Care
Biotechnology
Health Insurance
Hospitals & Physicians
Pharmaceuticals
Other Health Care
Manufacturing
Real Estate
Commercial
Construction
REITS & Finance
Residential
Other Real Estate
Retailing
Restaurants
Technology
Computers
Telecommunications
Other Technology
Travel
Airlines & Airports
Lodging & Conventions
Tourism & Travel Services
Other Travel
Other

5. Issuer Size

Revenue Range OR Aggregate Net Asset Value Range
No Revenues No Aggregate Net Asset Value
$1 - $1,000,000 $1 - $5,000,000
$1,000,001 - $5,000,000 $5,000,001 - $25,000,000
$5,000,001 - $25,000,000 $25,000,001 - $50,000,000
$25,000,001 - $100,000,000 $50,000,001 - $100,000,000
X Over $100,000,000 Over $100,000,000
Decline to Disclose Decline to Disclose
Not Applicable Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

Rule 504(b)(1) (not (i), (ii) or (iii))
Rule 504 (b)(1)(i)
Rule 504 (b)(1)(ii)
Rule 504 (b)(1)(iii)
X Rule 506(b)
Rule 506(c)
Securities Act Section 4(a)(5)
Investment Company Act Section 3(c)
Section 3(c)(1) Section 3(c)(9)
Section 3(c)(2) Section 3(c)(10)
Section 3(c)(3) Section 3(c)(11)
Section 3(c)(4) Section 3(c)(12)
Section 3(c)(5) Section 3(c)(13)
Section 3(c)(6) Section 3(c)(14)
Section 3(c)(7)

7. Type of Filing

X New Notice Date of First Sale 2024-09-30 First Sale Yet to Occur
Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
Yes X No

9. Type(s) of Securities Offered (select all that apply)

Equity Pooled Investment Fund Interests
X Debt Tenant-in-Common Securities
Option, Warrant or Other Right to Acquire Another Security Mineral Property Securities
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $2,000 USD

12. Sales Compensation

Recipient
Recipient CRD Number None
PIPER SANDLER & CO. 665
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
1261 AVENUE OF THE AMERICAS 6TH FLOOR
City State/Province/Country ZIP/Postal Code
NEW YORK NEW YORK 10020
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ALABAMA
COLORADO
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
MASSACHUSETTS
MISSOURI
NEVADA
NEW YORK
OHIO
OKLAHOMA
PENNSYLVANIA
TENNESSEE
UTAH
WISCONSIN
Recipient
Recipient CRD Number None
KEEFE, BRUYETTE & WOODS, INC. 481
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
None None
Street Address 1 Street Address 2
787 7TH AVENUE 4TH FLOOR
City State/Province/Country ZIP/Postal Code
NEW YORK NEW YORK 10019
State(s) of Solicitation (select all that apply)
Check "All States" or check individual States
All States
Foreign/non-US
ALABAMA
COLORADO
FLORIDA
GEORGIA
IDAHO
ILLINOIS
INDIANA
MASSACHUSETTS
MISSOURI
NEVADA
NEW YORK
OHIO
OKLAHOMA
PENNSYLVANIA
TENNESSEE
UTAH
WISCONSIN

13. Offering and Sales Amounts

Total Offering Amount $77,665,000 USD
or Indefinite
Total Amount Sold $77,665,000 USD
Total Remaining to be Sold $0 USD
or Indefinite

Clarification of Response (if Necessary):

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:
54

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions $1,095,000 USD
Estimate
Finders' Fees $0 USD
Estimate

Clarification of Response (if Necessary):

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0 USD
Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:
  • Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
EAGLE BANCORP INC /s/ ERIC R. NEWELL ERIC R. NEWELL CHIEF FINANCIAL OFFICER 2024-10-09

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.