IEBS / Independence Bancshares, Inc. (SC) - Pemfailan SEC, Laporan Tahunan, Penyata Proksi

IESB / Independence Bancshares, Inc. REGISTRATION WITHDRAWAL REQUEST

First Reliance Bancshares, Inc. 2170 West Palmetto Street Florence, SC 29501 (843) 656-5000 August 27, 2018 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F. Street, N.E. Washington, D.C. 20549 Re: Independence Bancshares, Inc. Request to Withdraw Registration Statement on Form S-1 File No. 333-206406 Ladies and Gentlemen: Pursuant to Rule 477 promulgated under th

IEBS / Independence Bancshares, Inc. (SC) / RMB Capital Management, LLC - SC 13D/A Activist Investment

SC 13D/A 1 d535924dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Independence Bancshares, Inc. (Name of Issuer) Voting Common Stock, $0.01 par value per share (Title of Class of Securities) 45338E107 (CUSIP Number) Lisa Tamburini Chief Compliance Officer RMB Capital Management

IEBS / Independence Bancshares, Inc. (SC) CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(G)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-51907 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specif

IEBS / Independence Bancshares, Inc. (SC) POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT

indbancshares-s8.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-8 REGISTRATION STATEMENT NO. 333-190024 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina 20-1734180 (State or other j

IEBS / Independence Bancshares, Inc. (SC) POST-EFFECTIVE AMENDMENT TO A S-8 REGISTRATION STATEMENT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 POST-EFFECTIVE AMENDMENT NO.

Joint Filing Agreement, dated as of January 22, 2018, by and between Ulysses Management LLC, Ulysses Partners, L.P, Joshua Nash LLC, Joshua Nash and Ulysses Offshore Fund, Ltd.

EXHIBIT 99.1 JOINT FILING AGREEMENT We, the signatories of the Statement on Schedule 13D/A to which this Agreement is attached, hereby agree that such statement is, and any amendments thereto filed by any of us will be, filed on behalf of each of us. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original and all of which together shall constitute one

IEBS / Independence Bancshares, Inc. (SC) / Ulysses Management LLC - AMENDMENT NO. 1 TO SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Amendment No. 1 Independence Bancshares, Inc. (Name of Issuer) Voting Common Stock, $0.01 par value per share (Title of Class of Securities) 45338E107 (CUSIP Number) Joshua Nash Ulysses Management LLC One Rockefeller Plaza New York, New York 10020 (212) 455-6200 (Name, Address and Telephone Number of Person Auth

Changes in Control of Registrant, Material Modification to Rights of Security Holders, Completion of Acquisition or Disposition of Assets

8-K 1 indbanc3370411-8k.htm CURRENT REPORT 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 23, 2018 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (

Submission of Matters to a Vote of Security Holders

8-K 1 indbanc3364481-8k.htm CURRENT REPORT 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 9, 2018 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (S

IEBS / Independence Bancshares, Inc. (SC) DEFINITIVE PROXY STATEMENT RELATING TO A MERGER,ACQUISITION, OR DISPOSITION

DEFM14A 1 indbanc3327311-defm14a.htm DEFINITIVE PROXY STATEMENT RELATING TO A MERGER,ACQUISITION, OR DISPOSITION Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Pre

IESB / Independence Bancshares, Inc. QUARTERLY REPORT (Quarterly Report)

10-Q 1 indbanc3335381-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended September 30, 2017 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commi

IEBS / Independence Bancshares, Inc. (SC) PRELIMINARY PROXY STATEMENT

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) ? Defi

Amendment to Amended and Restated Employment Agreement, dated as of September 25, 2017, by and among the Company, the Bank and Lawrence R. Miller

Exhibit 10.1 THIRD AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This third amendment (this ?Third Amendment?) is effective as of the 25th day of September, 2017, by and among Independence Bancshares, Inc., a South Carolina corporation (the ?Company?), Independence National Bank, (the ?Bank?), a national bank and wholly owned subsidiary of the Company (the Company and the Bank are collect

Company Release - September 25, 2017

Company Release - September 25, 2017 First Reliance Bancshares Enters Agreement to Acquire Independence Bancshares, Inc.

Non-Solicitation Agreement, dated as of September 25, 2017, by and between First Reliance Bancshares, Inc. and Martha L. Long

EX-10.2 5 indbanc3315771-ex102.htm NON-SOLICITATION AGREEMENT, DATED AS OF SEPTEMBER 25, 2017 Exhibit 10.2 NON-SOLICITATION AGREEMENT THIS NON-SOLICITATION AGREEMENT (this “Agreement”) is entered into as of September 25, 2017, between First Reliance Bancshares, Inc. (“Parent”), a South Carolina corporation and the holding company of First Reliance Bank (“First Reliance”), and the undersigned Chief

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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) September 25, 2017 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employe

Non-Solicitation Agreement, dated as of September 25, 2017, by and between First Reliance Bancshares, Inc. and E. Fred Moore

EX-10.3 6 indbanc3315771-ex103.htm NON-SOLICITATION AGREEMENT, DATED AS OF SEPTEMBER 25, 2017 Exhibit 10.3 NON-SOLICITATION AGREEMENT THIS NON-SOLICITATION AGREEMENT (this “Agreement”) is entered into as of September 25, 2017, between First Reliance Bancshares, Inc. (“Parent”), a South Carolina corporation and the holding company of First Reliance Bank (“First Reliance”), and the undersigned Chief

Amendment to Amended and Restated Bylaws of the Company, dated as of September 25, 2017

EX-3.1 3 indbanc3315771-ex31.htm AMENDMENT TO AMENDED AND RESTATED BYLAWS OF THE COMPANY Exhibit 3.1 FIRST AMENDMENT TO AMENDED AND RESTATED BYLAWS OF INDEPENDENCE BANCSHARES, INC. This First Amendment (this “Amendment”) to the Amended and Restated Bylaws of Independence Bancshares, Inc. (the “Corporation”) is made as of September 25, 2017. WITNESSETH WHEREAS, the bylaws of the Corporation (the “B

Agreement and Plan of Merger, dated as of September 25, 2017, by and among First Reliance Bancshares, Inc., FR Merger Subsidiary, Inc., and the Company

EX-2.1 2 indbanc3315771-ex21.htm AGREEMENT AND PLAN OF MERGER Exhibit 2.1 AGREEMENT AND PLAN OF MERGER By And Among FIRST RELIANCE BANCSHARES, INC., FR MERGER SUBSIDIARY, INC. and INDEPENDENCE BANCSHARES, INC. Dated as of September 25, 2017 TABLE OF CONTENTS Page LIST OF EXHIBITS iv RECITALS 1 ARTICLE 1 TRANSACTIONS AND TERMS OF MERGER 1 1.1 Merger 1 1.2 Time and Place of Closing 2 1.3 Effective T

Agreement and Plan of Merger, dated as of September 25, 2017, by and among First Reliance Bancshares, Inc., FR Merger Subsidiary, Inc., and the Company

EX-2.1 2 indbanc3315771-ex21.htm AGREEMENT AND PLAN OF MERGER Exhibit 2.1 AGREEMENT AND PLAN OF MERGER By And Among FIRST RELIANCE BANCSHARES, INC., FR MERGER SUBSIDIARY, INC. and INDEPENDENCE BANCSHARES, INC. Dated as of September 25, 2017 TABLE OF CONTENTS Page LIST OF EXHIBITS iv RECITALS 1 ARTICLE 1 TRANSACTIONS AND TERMS OF MERGER 1 1.1 Merger 1 1.2 Time and Place of Closing 2 1.3 Effective T

Amendment to Amended and Restated Employment Agreement, dated as of September 25, 2017, by and among the Company, the Bank and Lawrence R. Miller

EX-10.1 4 indbanc3315771-ex101.htm AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT Exhibit 10.1 THIRD AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This third amendment (this “Third Amendment”) is effective as of the 25th day of September, 2017, by and among Independence Bancshares, Inc., a South Carolina corporation (the “Company”), Independence National Bank, (the “Bank”), a nati

Amendment to Amended and Restated Bylaws of the Company, dated as of September 25, 2017

EX-3.1 3 indbanc3315771-ex31.htm AMENDMENT TO AMENDED AND RESTATED BYLAWS OF THE COMPANY Exhibit 3.1 FIRST AMENDMENT TO AMENDED AND RESTATED BYLAWS OF INDEPENDENCE BANCSHARES, INC. This First Amendment (this “Amendment”) to the Amended and Restated Bylaws of Independence Bancshares, Inc. (the “Corporation”) is made as of September 25, 2017. WITNESSETH WHEREAS, the bylaws of the Corporation (the “B

Non-Solicitation Agreement, dated as of September 25, 2017, by and between First Reliance Bancshares, Inc. and E. Fred Moore

Exhibit 10.3 NON-SOLICITATION AGREEMENT THIS NON-SOLICITATION AGREEMENT (this ?Agreement?) is entered into as of September 25, 2017, between First Reliance Bancshares, Inc. (?Parent?), a South Carolina corporation and the holding company of First Reliance Bank (?First Reliance?), and the undersigned Chief Credit Officer (?Executive?) of Independence Bancshares, Inc., a South Carolina corporation (

Independence Bancshares, Inc. (SC) CURRENT REPORT

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) September 25, 2017 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employe

Press release dated September 25, 2017 announcing the Merger Agreement

Company Release - September 25, 2017 First Reliance Bancshares Enters Agreement to Acquire Independence Bancshares, Inc.

Non-Solicitation Agreement, dated as of September 25, 2017, by and between First Reliance Bancshares, Inc. and Martha L. Long

Exhibit 10.2 NON-SOLICITATION AGREEMENT THIS NON-SOLICITATION AGREEMENT (this ?Agreement?) is entered into as of September 25, 2017, between First Reliance Bancshares, Inc. (?Parent?), a South Carolina corporation and the holding company of First Reliance Bank (?First Reliance?), and the undersigned Chief Financial Officer (?Executive?) of Independence Bancshares, Inc., a South Carolina corporatio

IESB / Independence Bancshares, Inc. QUARTERLY REPORT (Quarterly Report)

10-Q 1 indbanc3294681-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended June 30, 2017 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission

Independence Bancshares, Inc. (SC) QUARTERLY REPORT (Quarterly Report)

10-Q 1 indbanc3251541-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended March 31, 2017 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commissio

Independence Bancshares, Inc. (SC) ANNUAL REPORT (Annual Report)

10-K 1 indbanc3229111-10k.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x Annual Report Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 For The Fiscal Year Ended: December 31, 2016. ¨ Transition Report Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 For the Transition Period from to Commission file

Independence National Bank, a national banking association incorporated under the laws of the United States and subject to examination by the OCC.

Exhibit 21.1 Subsidiaries Independence National Bank, a national banking association incorporated under the laws of the United States and subject to examination by the OCC.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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) December 15, 2016 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employer

SECOND AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT

Exhibit 10.1 SECOND AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This second amendment (the ?Second Amendment?) is effective as of the 15th day of December, 2016, and is made by and among Independence Bancshares Inc., a South Carolina corporation (the ?Company?), Independence National Bank (the ?Bank?), a national bank and wholly owned subsidiary of the Company (the Company and the Bank

AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT

EX-10.2 3 indbanc3184141-ex102.htm AMENDMENT TO THE AMENDED AND RESTATED EMPLOYMENT AGREEMENT Exhibit 10. 2 AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This amendment (the “Amendment”) is effective as of the 15th day of December, 2016, and is made by and among Independence Bancshares Inc., a South Carolina corporation (the “Company”), Independence National Bank (the “Bank”), a national

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/AMENDMENT NO. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2016 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission

Submission of Matters to a Vote of Security Holders

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): November 16, 2016 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employe

IESB / Independence Bancshares, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 indbanc3161091-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended September 30, 2016 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commi

Independence Bancshares, Inc. (SC) DEFINITIVE PROXY STATEMENT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e) (2)) ? Definitive Proxy Stat

IESB / Independence Bancshares, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 independence31172813-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended June 30, 2016 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Comm

IESB / Independence Bancshares, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 independence31172813-10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended June 30, 2016 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Comm

IESB / Independence Bancshares, Inc. 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 independence10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period ended March 31, 2016 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission F

Independence National Bank, a national banking association incorporated under the laws of the United States and subject to examination by the OCC.

Exhibit 21.1 Subsidiaries Independence National Bank, a national banking association incorporated under the laws of the United States and subject to examination by the OCC.

IESB / Independence Bancshares, Inc. 10-K - Annual Report - ANNUAL REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended: December 31, 2015. ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission file number 000-51907 INDEPENDENCE BANCSHARES, IN

AMENDED AND RESTATED LICENSE AGREEMENT

Execution Version AMENDED AND RESTATED LICENSE AGREEMENT THIS AMENDED AND RESTATED LICENSE AGREEMENT (this ?Agreement?), dated as of January 4, 2016 (the ?Effective Date?), by and between MPIB Holdings, LLC, a Delaware limited liability company (?MPIB?), and Independence Bancshares Inc.

RELEASE AND SEVERANCE AGREEMENT PLEASE READ CAREFULLY

RELEASE AND SEVERANCE AGREEMENT PLEASE READ CAREFULLY This Release and Severance Agreement (the ?Agreement?) is made and entered into by and between Gordon A.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 independence8k.htm CURRENT REPORT 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, 2016 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State

Submission of Matters to a Vote of Security Holders

8-K 1 indbancshares8k.htm CURRENT REPORT 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): November 4, 2015 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (St

Independence Bancshares, Inc. (SC) DEFINITIVE REVISED PROXY SOLICITING MATERIALS

DEFR14A 1 indbancsharesdefr14a.htm DEFINITIVE REVISED PROXY SOLICITING MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use o

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 indbancshares8k.htm CURRENT REPORT 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) October 4, 2015 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (Stat

Other Events, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 independence8k.htm CURRENT REPORT 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) September 25, 2015 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (St

Independence Bancshares, Inc. (SC) DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e) (2)) ? Definitive Proxy Stat

Independence Bancshares, Inc. (SC) GENERAL FORM OF REGISTRATION STATEMENT FOR ALL COMPANIES

S-1 1 independences-1.htm GENERAL FORM OF REGISTRATION STATEMENT FOR ALL COMPANIES As filed with the Securities and Exchange Commission on August 14, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) S

IESB / Independence Bancshares, Inc. / Baird Hageman & Co., Llc - AMENDMENT TO SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Principal Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South Carolina 2960

IESB / Independence Bancshares, Inc. / Willumstad Robert B - AMENDMENT TO SCHEDULE FILED TO REPORT ACQUISITION OF BENEFICIAL OWNERSHIP Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Principal Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South Carolina 2960

IEBS / Independence Bancshares, Inc. (SC) / RMB Capital Management, LLC - SC 13D Activist Investment

SC 13D 1 d937840dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Independence Bancshares, Inc. (Name of Issuer) Voting Common Stock, $0.01 par value per share (Title of Class of Securities) 45338E107 (CUSIP Number) Lisa Tamburini Chief Compliance Officer, Iron Road and Legal Counsel 11

IEBS / Independence Bancshares, Inc. (SC) / Ulysses Management LLC - SC 13D Activist Investment

SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. )* Independence Bancshares, Inc. (Name of Issuer) Voting Common Stock, $0.01 par value per share (Title of Class of Securities) 45338E107 (CUSIP Number) Joshua Nash Ulysses Management LLC One Rockefeller Plaza New York, New York 10020 (

JOINT FILING AGREEMENT

Joint Filing Exhibit EXHIBIT 1 JOINT FILING AGREEMENT We, the signatories of the Statement on Schedule 13D to which this Agreement is attached, hereby agree that such statement is, and any amendments thereto filed by any of us will be, filed on behalf of each of us.

REGISTRATION RIGHTS AGREEMENT

EX-10.2 5 exhibit10-2.htm FORM OF REGISTRATION RIGHTS AGREEMENT EXHIBIT C FORM OF REGISTRATION RIGHTS AGREEMENT REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into January , 2015, by and among Independence Bancshares, Inc. d/b/a nD bancgroup, a South Carolina corporation (the “Company”), and the purchasers signatory hereto (each a “Purchaser

ASSET PURCHASE AGREEMENT

ASSET PURCHASE AGREEMENT This Asset Purchase Agreement (this ?Agreement?), dated as of May , 2015, is entered into by and between INDEPENDENCE BANCSHARES, INC.

INDEPENDENCE BANCSHARES, INC. (d/b/a nD bancgroup) Subscription Booklet

Execution Version INDEPENDENCE BANCSHARES, INC. (d/b/a nD bancgroup) Subscription Booklet Execution Version INSTRUCTIONS This Subscription Booklet relates to the offering of shares of common stock of Independence Bancshares, Inc., d/b/a nD bancgroup (the ?Company?). This Subscription Booklet contains the materials necessary for you to subscribe for shares of the Company?s common stock, and if your

State of South Carolina Department of the Secretary of State ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF INDEPENDENCE BANCSHARES, INC.

State of South Carolina Department of the Secretary of State ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF INDEPENDENCE BANCSHARES, INC.

LICENSE AGREEMENT

LICENSE AGREEMENT THIS LICENSE AGREEMENT (this ?Agreement?), dated as of May 14, 2015 (the ?Effective Date?), by and between MPIB Holdings, LLC, a Delaware limited liability company (?MPIB?), and Independence Bancshares Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits

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): May 14, 2015 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employer jur

CERTIFICATE OF DESIGNATIONS OF PREFERRED STOCK, SERIES A OF INDEPENDENCE BANCSHARES, INC.

CERTIFICATE OF DESIGNATIONS OF PREFERRED STOCK, SERIES A OF INDEPENDENCE BANCSHARES, INC.

Independence Bancshares, Inc. (SC) NOTICE UNDER RULE 12B25 OF INABILITY TO TIMELY FILE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC File Number: 000-51907 Cusip Number: 45338E107 NOTIFICATION OF LATE FILING (Check One): X Form 10-K Form 20-F Form 11-K Form 10-Q Form N-SAR For Period Ended: December 31, 2014 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form

CHANGE IN CONTROL AGREEMENT

EX-10.1 2 d31963ex10-1.htm EX-10.1 Exhibit 10.1 CHANGE IN CONTROL AGREEMENT This Change in Control Agreement (this “ Agreement”) by and between Independence Bancshares, Inc. a South Carolina corporation (the “Company”), Independence National Bank (the "Bank"), a national bank and wholly owned subsidiary of the Company (the Company and the Bank collectively referred to herein as the “Employer”), an

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 d31963.htm 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) December 19, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commis

Other Events

UNITED STATES 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) December 9, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.

Submission of Matters to a Vote of Security Holders

8-K 1 d31869.htm 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): November 20, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commissio

IESB / Independence Bancshares, Inc. DEF 14A - - DEF 14A

DEF 14A 1 d31697.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)

IESB / Independence Bancshares, Inc. PRE 14A - - PRE 14A

PRE 14A 1 d31690.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)

IESB / Independence Bancshares, Inc. / Baird Hageman & Co., Llc - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Chief Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South Carolina 29601 86

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 d31553.htm 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) July 21, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission

July 21, 2014

Item 17 Item 17.1 July 21, 2014 Independence Bancshares, Inc. c/o Robert B. Willumstad, Chairman 500 E. Washington Street Greenville, SC 29601 Independence National Bank c/o H. Neel Hipp, Jr., Chairman 500 E. Washington Street Greenville, SC 29601 Re: Resignation as a Director of Independence Bancshares, Inc. and Independence National Bank Dear Bob and Neel: I hereby resign from my positions as a

Other Events

8-K 1 d31540-8k.htm 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): July 18, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdi

Other Events

8-K 1 d31497.htm 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): July 14, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commissio

Termination of a Material Definitive Agreement, Other Events

8-K 1 d31424.htm 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): June 4, 2014 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdictio

Independence Bancshares, Inc. (SC) 10-K (Annual Report)

10-K 1 d31171.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] Annual Report Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 For The Fiscal Year Ended: December 31, 2013. o Transition Report Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 For the Transition Period from to Commission file number 000-51907 In

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 d31018.htm 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): December 30, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisd

- S-8

S-8 1 d30699.htm S-8 Registration No. 333-190024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina 20-1734180 (State or other jurisdiction of (I.R.S. Employer incorporation or organ

- POS AM

As filed with the Securities and Exchange Commission on August 22, 2013. Registration No. 333-186476 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina (State or jurisdiction of in

- POS AM

As filed with the Securities and Exchange Commission on August 16, 2013. Registration No. 333-186476 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina (State or jurisdiction of in

Other Events

8-K 1 d30648.htm 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): August 1, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commissi

Submission of Matters to a Vote of Security Holders

8-K 1 d306438k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdi

STATE OF SOUTH CAROLINA SECRETARY OF STATE ARTICLES OF AMENDMENT

EX-3.1 2 d30591ex3-1.htm EX-3.1 Exhibit 3.1 STATE OF SOUTH CAROLINA SECRETARY OF STATE ARTICLES OF AMENDMENT Pursuant to Section 33-10-106 of the 1976 South Carolina Code, as amended, the undersigned corporation adopts the following Articles of Amendment to its Articles of Incorporation: 1. The name of the corporation is Independence Bancshares, Inc. . 2. Date of Incorporation: October 12, 2004 .

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

8-K 1 d30591.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commissi

- S-8

S-8 1 d30587.htm S-8 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina 20-1734180 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification Number) 500 East Washington Street Gre

Up to 2,351,250 Shares of Common Stock

424B3 1 d30558424b3.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration No. 333-186476 Table of Contents Up to 2,351,250 Shares of Common Stock Independence Bancshares, Inc. (the “Company”) is the holding company for Independence National Bank, a national association organized under the laws of the United States and headquartered in Greenville, South Carolina (the “Bank”). We are offering to t

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June 28, 2013 Chris Windsor Special Counsel Securities and Exchange Commission Division of Corporation Finance 100 F.

- S-1/A

S-1/A 1 d30541.htm S-1/A Table of Contents As filed with the Securities and Exchange Commission on June 20, 2013. Registration No. 333-186476 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina 60

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Nelson Mullins Riley & Scarborough LLP Attorneys and Counselors at Law 104 South Main Street / Ninth Floor / Greenville, South Carolina 29601 Tel: 864.

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Nelson Mullins Riley & Scarborough LLP Attorneys and Counselors at Law 104 South Main Street / Ninth Floor / Greenville, South Carolina 29601 Tel: 864.

- S-1/A

S-1/A 1 d30491.htm S-1/A Table of Contents As filed with the Securities and Exchange Commission on June 6, 2013. Registration No. 333-186476 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina 602

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders - 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): May 15, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employer jur

IESB / Independence Bancshares, Inc. / Baird Hageman & Co., Llc - SC 13D/A Activist Investment

UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Principal Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South

IESB / Independence Bancshares, Inc. / Willumstad Robert B - SC 13D Activist Investment

UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Principal Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South Carolina 29601 864

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 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): May 7, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdiction (Commission (IRS Emp

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

Memo 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): April 23, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdiction of incorpora

- S-1/A

S-1/A 1 d01-main.htm S-1/A Table of Contents As filed with the Securities and Exchange Commission on April 15, 2013. Registration No. 333-186476 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina

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CORRESP 1 filename1.htm Nelson Mullins Riley & Scarborough LLP Attorneys and Counselors at Law 104 South Main Street / Ninth Floor / Greenville, South Carolina 29601 Tel: 864.250.2300 Fax: 864.232.2925 www.nelsonmullins.com Neil E. Grayson (Admitted in GA, NY & SC) 864.250.2235 Fax: 864.250.2359 [email protected] April 12, 2013 Via Edgar Mr. Christian Windsor, Special Counsel Mr. Jona

- DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e) (2)) þ Definitive Proxy Stat

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

UNITED STATES 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): March 27, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdiction of

EMPLOYMENT AGREEMENT

Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this “Agreement”) dated as of March 27, 2013, is made by and between Independence Bancshares, Inc., a South Carolina corporation (the “ Company”) and holding company of Independence National Bank, a national bank (the “Bank”), and Gordon A. Baird, an individual resident of Darien, Connecticut (the “Executive”). The Bank and its affiliate

- PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e) (2)) ¨ Definitive Proxy Stat

INDEPENDENCE BANCSHARES, INC. 2005 STOCK INCENTIVE PLAN AMENDMENT NO. 2 ADOPTED BY THE BOARD OF DIRECTORS FEBRUARY 27, 2013

EX-10.1 2 d30284ex10-1.htm EX-10.1 Exhibit 10.1 INDEPENDENCE BANCSHARES, INC. 2005 STOCK INCENTIVE PLAN AMENDMENT NO. 2 ADOPTED BY THE BOARD OF DIRECTORS FEBRUARY 27, 2013 First, the Board amended Section 5.1 of the Plan by deleting Article V, Section 5.1 in its entirety and replacing it with the following: 5.1 Limitations. The maximum number of shares that may be issued hereunder shall be 2,466,7

INDEPENDENCE BANCSHARES, INC. 2013 EQUITY INCENTIVE PLAN

EX-10.2 3 d30284ex10-2.htm EX-10.2 Exhibit 10.2 INDEPENDENCE BANCSHARES, INC. 2013 EQUITY INCENTIVE PLAN Section 1. General Purpose of Plan; Definitions. The name of this plan is the Independence Bancshares, Inc. 2013 Equity Incentive Plan (the “Plan”). The Plan was approved by the Board of Directors on February 27, 2013 (the “Effective Date”) and subsequently adopted by the shareholders of the Co

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 1 d30284.htm 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): February 27, 2013 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commi

Independence Bancshares, Inc. STOCK OPTION CERTIFICATE [Insert Name]

EX-10.(4) 5 d30284ex10-4.htm EX-10.(4) Exhibit 10.4 Independence Bancshares, Inc. STOCK OPTION CERTIFICATE [Insert Name] Independence Bancshares, Inc., a South Carolina corporation (the “Company”), hereby grants to the optionee named above (the “Optionee”) an option (this “Option”) to purchase the total number of shares shown below of Common Stock of the Company (the “Shares”) at the exercise pric

Independence Bancshares, Inc. 2013 Equity Incentive Plan Restricted Stock Award Grant Notice

EX-10.(3) 4 d30284ex10-3.htm EX-10.(3) Exhibit 10.3 Independence Bancshares, Inc. 2013 Equity Incentive Plan Restricted Stock Award Grant Notice Participant Name: [Name] Company: Independence Bancshares, Inc. Notice: A summary of the terms of your grant of Restricted Shares is set out in this notice (the “Grant Notice”) but subject always to the terms of the Independence Bancshares, Inc. 2013 Equi

SUBSCRIPTION AGREEMENT

EX-99.1 4 d30180ex99-1.htm EX-99.1 Exhibit 99.1 SUBSCRIPTION AGREEMENT TO: Independence Bancshares, Inc. Attn: Martha L. Long 500 East Washington Street Greenville, South Carolina 29601 Ladies and Gentlemen: You have informed me that Independence Bancshares, Inc., a South Carolina corporation (the “Company”), is offering up to 2,351,250 shares of its common stock at a price of $0.80 per share to e

NOTICE TO SHAREHOLDERS WHO ARE ACTING AS NOMINEES Up to 2,351,250 Shares of Common Stock at $0.80 per Share

EX-99.3 6 d30180ex99-3.htm EX-99.3 Exhibit 99.3 NOTICE TO SHAREHOLDERS WHO ARE ACTING AS NOMINEES Up to 2,351,250 Shares of Common Stock at $0.80 per Share This letter is being distributed to broker-dealers, trust companies, banks and other nominees in connection with the offering by Independence Bancshares, Inc. (the “Company”) of up to 2,351,250 shares of its common stock at $0.80 per share to e

Registration Statement - S-1

S-1 1 d01-main.htm S-1 Table of Contents As filed with the Securities and Exchange Commission on February 6, 2013. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 INDEPENDENCE BANCSHARES, INC. (Exact name of registrant as specified in its charter) South Carolina 6021 20-1734180 (State or

NOTICE TO SHAREHOLDERS WHO ARE RECORD HOLDERS Up to 2,351,250 Shares of Common Stock at $0.80 per Share

EX-99.2 5 d30180ex99-2.htm EX-99.2 Exhibit 99.2 NOTICE TO SHAREHOLDERS WHO ARE RECORD HOLDERS Up to 2,351,250 Shares of Common Stock at $0.80 per Share Enclosed for your consideration is a prospectus, dated [•], 2013 (the “Prospectus”), relating to the offering by Independence Bancshares, Inc. (the “Company”) of up to 2,351,250 shares of its common stock at $0.80 per share to existing shareholders

IESB / Independence Bancshares, Inc. / Baird Hageman & Co., Llc - SC 13D/A Activist Investment

UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Chief Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South Car

IESB / Independence Bancshares, Inc. / Baird Hageman & Co., Llc - SC 13D Activist Investment

UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number) Martha L. Long, Chief Financial Officer c/o Independence Bancshares, Inc. 500 East Washington Street Greenville, South Carolina 29601 864-672

IESB / Independence Bancshares, Inc. / HOVDE STEVEN D - SC 13G Passive Investment

UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number of Class of Securities) December 31, 2012 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the

IESB / Independence Bancshares, Inc. / Lam Paul P - SC 13G/A Passive Investment

SC 13G/A 1 d30102.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Independence Bancshares, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 45338E 10 7 - (CUSIP NUMBER) Gordon A. Baird, Chief Executive Officer Independence Bancshares, Inc. 500 E. Washington Street Gre

IESB / Independence Bancshares, Inc. / Rama Hasmukh P - SC 13G/A Passive Investment

SC 13G/A 1 d30103.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Independence Bancshares, Inc. - (Name of Issuer) Common Stock - (Title of Class of Securities) 45338E 10 7 - (CUSIP NUMBER) Gordon A. Baird, Chief Executive Officer Independence Bancshares, Inc. 500 E. Washington Street Gre

IESB / Independence Bancshares, Inc. / Willumstad Robert B - SC 13G Passive Investment

UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* INDEPENDENCE BANCSHARES, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 45338E 10 7 (CUSIP Number of Class of Securities) December 31, 2012 (Date of Event which Requires Filing of this Statement) Check the appropriate box

AMENDMENT AMENDED AND RESTATED EMPLOYMENT AGREEMENT

EX-10.3 4 d30063ex10-3.htm EX-10.3 Exhibit 10.3 AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This amendment (the “Amendment”) is effective as of the 31st day of December, 2012, and is made by and among Independence Bancshares Inc., a South Carolina corporation (the “Company”), Independence National Bank (the "Bank"), a national bank and wholly owned subsidiary of the Company (the Company

INDEPENDENCE BANCSHARES ANNOUNCES CLOSING OF PRIVATE PLACEMENT OFFERING

Exhibit 99 Exhibit 99.1 INDEPENDENCE BANCSHARES ANNOUNCES CLOSING OF PRIVATE PLACEMENT OFFERING Greenville, South Carolina, January 7, 2013: Independence Bancshares, Inc. (OTC: IEBS) (the “Company”), the holding company for Independence National Bank (the "Bank"), announced the closing on December 31, 2012 of a private placement offering in which it issued 17,648,750 shares of common stock at a pr

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

8-K 1 d30063.htm 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): December 31, 2012 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisd

INDEPENDENCE BANCSHARES, INC. 2012 OFFERING FINAL SUBSCRIPTION AGREEMENT FOR SHARES OF COMMON STOCK

EX-10.1 2 d30063ex10-1.htm EX-10.1 Exhibit 10.1 INDEPENDENCE BANCSHARES, INC. 2012 OFFERING FINAL SUBSCRIPTION AGREEMENT FOR SHARES OF COMMON STOCK This Final Subscription Agreement (the “Agreement”), dated as of December , 20121, is made by and between Independence Bancshares, Inc. (the “Company”), a South Carolina corporation and bank holding company for Independence National Bank (the “Bank”),

INDEPENDENCE BANCSHARES, INC. FORM OF REGISTRATION RIGHTS AGREEMENT

EX-10.2 3 d30063ex10-2.htm EX-10.2 Exhibit 10.2 INDEPENDENCE BANCSHARES, INC. FORM OF REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) dated as of , 20121, is made by and between Independence Bancshares, Inc. (the “Company”), a South Carolina corporation and bank holding company for Independence National Bank (the “Bank”), and (the “Investor” and, collectively wi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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): December 12, 2012 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employe

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K

UNITED STATES 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): August 16, 2012 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.

Submission of Matters to a Vote of Security Holders - 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): May 16, 2012 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employer jur

- DEF 14A

SOUTHEAST COMMERCE HOLDING COMPANY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- 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): March 29, 2012 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other (Commission (I.R.S. Employer j

Other Events - 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 25, 2012 Independence Bancshares, Inc. (Exact name of registrant as specified in its charter) South Carolina 333-121485 20-1734180 (State or other jurisdiction of incorporatio