-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MFdrqY4Enyd1j0BpkEIJEfwL7nIzcPBEts0KJvkDZXhj4a1SXzCnlXQRpYTUWTuw U5Ti2f0nx/dllU4zCsVMXQ== 0001065407-09-000480.txt : 20090826 0001065407-09-000480.hdr.sgml : 20090826 20090826155011 ACCESSION NUMBER: 0001065407-09-000480 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090826 DATE AS OF CHANGE: 20090826 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Cape Bancorp, Inc. CENTRAL INDEX KEY: 0001411303 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83837 FILM NUMBER: 091036371 BUSINESS ADDRESS: STREET 1: 225 NORTH MAIN STREET CITY: CAPE MAY COURT HOUSE STATE: NJ ZIP: 08210 BUSINESS PHONE: (609) 465-5600 MAIL ADDRESS: STREET 1: 225 NORTH MAIN STREET CITY: CAPE MAY COURT HOUSE STATE: NJ ZIP: 08210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PATRIOT FINANCIAL PARTNERS LP CENTRAL INDEX KEY: 0001431719 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2929 ARCH STREET CITY: PHILADELPHIA STATE: PA ZIP: 19104 BUSINESS PHONE: 215-972-2200 MAIL ADDRESS: STREET 1: 2929 ARCH STREET CITY: PHILADELPHIA STATE: PA ZIP: 19104 SC 13D/A 1 sched13da.htm SCHEDULE 13D/A sched13da.htm
 


SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13D/A
(Rule 13d-101)
 
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT
TO RULE 13d-2(a)
 
(Amendment No. 3)
 
Cape Bancorp, Inc.
(Name of Issuer)
 
Common Stock, par value $0.01 per share
(Title of Class of Securities)
 
139209 1 00
(CUSIP Number)
 
W. Kirk Wycoff
Copies to:
Patriot Financial Partners, L.P.
Raymond A. Tiernan, Esq.
Cira Centre
Elias, Matz, Tiernan & Herrick L.L.P.
2929 Arch Street, 27th Floor
734 15th Street, N.W., 11th Floor
Philadelphia, Pennsylvania 19104
Washington, D.C. 20005
(215) 399-4650
(202) 347-0300
(Name, Address, Telephone Number of Person Authorized to Receive Notices and Communications)
   
August 17, 2009
(Date of Event which Requires Filing of this Statement)
   
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ].
   
Note:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Rule 13d-7(b) for other parties to whom copies are to be sent.
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 2 of 14 Pages
     
 
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Patriot Financial Partners, L.P.
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
WC, BK
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
         [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7
  SOLE VOTING POWER
 
0
8
  SHARED VOTING POWER
 
655,051
9
  SOLE DISPOSITIVE POWER
 
0
10
  SHARED DISPOSITIVE POWER
 
655,051
11
   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
655,051
12
  CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES   [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
4.9%
 14
   TYPE OF REPORTING PERSON
   
PN
 
 
 

 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 3 of 14 Pages
     
   
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Patriot Financial Partners Parallel, L.P.
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
WC, BK
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
         [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
7
   SOLE VOTING POWER
 
0
8
   SHARED VOTING POWER
 
221,154
9
   SOLE DISPOSITIVE POWER
 
0
10
   SHARED DISPOSITIVE POWER
 
221,154
11
   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
221,154
12
   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
1.7%
14
   TYPE OF REPORTING PERSON
 
PN
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 4 of 14 Pages
     
 
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Patriot Financial Partners GP, L.P.
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
AF
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
          [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
7
   SOLE VOTING POWER
 
0
8
   SHARED VOTING POWER
 
876,205
9
   SOLE DISPOSITIVE POWER
 
0
10
   SHARED DISPOSITIVE POWER
 
876,205
11
   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
876,205
12
   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
6.6%
14
   TYPE OF REPORTING PERSON
 
PN
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 5 of 14 Pages
     
 
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Patriot Financial Partners GP, LLC
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
AF
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
         [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
Delaware
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
7
  SOLE VOTING POWER
 
0
8
  SHARED VOTING POWER
 
876,205
9
   SOLE DISPOSITIVE POWER
 
0
10
   SHARED DISPOSITIVE POWER
 
876,205
11
   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
876,205
12
   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
6.6%
14
   TYPE OF REPORTING PERSON
 
CO
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 6 of 14 Pages
     
 
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
W. Kirk Wycoff
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
AF
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
          [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
7
   SOLE VOTING POWER
 
0
8
   SHARED VOTING POWER
 
876,205
9
   SOLE DISPOSITIVE POWER
 
0
10
   SHARED DISPOSITIVE POWER
 
876,205
11
   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
876,205
12
   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
6.6%
14
   TYPE OF REPORTING PERSON
 
IN
 
 
 

 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 7 of 14 Pages
     
 
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
Ira M. Lubert
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
AF
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
          [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
7
   SOLE VOTING POWER
 
0
8
   SHARED VOTING POWER
 
876,205
9
   SOLE DISPOSITIVE POWER
 
0
10
   SHARED DISPOSITIVE POWER
 
876,205
11
  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
876,205
12
   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES    [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
6.6%
14
   TYPE OF REPORTING PERSON
 
IN
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 8 of 14 Pages
     
 
1
   NAMES OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 
James J. Lynch
2
   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
   (a) [ X ]
(b) [    ]
 
3
   SEC USE ONLY
 
4
   SOURCE OF FUNDS
 
AF
5
   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
   PURSUANT TO ITEM 2(d) OR 2(e)
 
 
          [  ]
 
 
6
   CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH REPORTING
PERSON WITH
7
   SOLE VOTING POWER
 
0
8
   SHARED VOTING POWER
 
876,205
9
   SOLE DISPOSITIVE POWER
 
0
10
   SHARED DISPOSITIVE POWER
 
876,205
11
   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
876,205
12
   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES     [ ]
 
13
   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
 
6.6%
14
   TYPE OF REPORTING PERSON
 
IN
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 9 of 14 Pages
     
 
Item 1.
Security and Issuer
 
The initial Schedule 13D, dated November 4, 2008, was filed with the Securities and Exchange Commission on November 14, 2008 with respect to the common stock, par value $0.01 per share (the ACommon Stock@), of Cape Bancorp, Inc., a Maryland corporation (the ACompany@ or the AIssuer@), whose principal executive offices are located at 225 North Main Street, Cape May Courthouse, New Jersey 08210. Amendment No. 1 to Schedule 13D was filed on November 28, 2008 to report an increase in the beneficial ownership of the Common Stock by the reporting persons.  Amendment No. 2 to Schedule 13D was filed to report the entering into an agreement among the reporting persons and the Issuer. This Amendment No. 3 to Schedule 13D is being filed to report the termination of the agreement.
 
 
Item 2.
Identity and Background
 
The Schedule 13D is being jointly filed by the parties indentified below.  All of the filers of this Schedule 13D are collectively referred to as the “Patriot Financial Group.” The joint filing agreement of the members of the Patriot Financial Group is filed as Exhibit 1 to this Schedule 13D.
 
(a)- (c)    The following are members of the Patriot Financial Group:
 
·  
Patriot Financial Partners, L.P., a Delaware limited partnership (the “Patriot Fund”);
 
·  
Patriot Financial Partners Parallel, L.P., a Delaware limited partnership (the “Patriot Parallel Fund” and together with the Patriot Fund, the “Funds”);
 
·  
Patriot Financial Partners GP, L.P., a Delaware limited partnership and general partner of the Funds (“Patriot GP”);
 
·  
Patriot Financial Partners GP, LLC, a Delaware limited liability company and general partner of Patriot GP (“Patriot LLC”); and
 
·  
W. Kirk Wycoff, Ira M. Lubert and James J. Lynch as general partners of the Funds and Patriot GP and as members of Patriot LLC.
 
The Funds are private equity funds focused on investing in community banks throughout the United States.  The principal business of Patriot GP is to serve as the general partner and manage the Funds.   The principal business of Patriot LLC is to serve as the general partner and manage Patriot GP. The principal employment of Messrs. Wycoff, Lubert and Lynch is investment management with each of the Funds, Patriot GP and Patriot LLC.
 
The business address of each member of the Patriot Financial Group is c/o Patriot Financial Partners, LP, Cira Centre, 2929 Arch Street, 27th Floor, Philadelphia, Pennsylvania 19104.
 
 
 

 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 10 of 14 Pages
 
 
(d)           During the last five years, no member of the Patriot Financial Group has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
 
(e)           During the last five years, no member of the Patriot Financial Group has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
 
(f)           Each natural person who is a member of the Patriot Financial Group is a citizen of the United States.
 
Item 5.
  Interest in Securities of the Issuer
 
The percentages used in this Schedule 13D are based upon 13,313,521 outstanding shares of Common Stock as of August 7, 2009, as reported in the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2009.
 
 (a) - (b) Patriot Fund possesses shared voting and dispositive power and beneficially owns 655,051 shares, or 4.9%, of the outstanding Common Stock.
 
Patriot Parallel Fund possesses shared voting and dispositive power and beneficially owns 221,154 shares, or 1.7%, of the outstanding Common Stock.
 
Because (i) Messrs. Wycoff, Lubert and Lynch serve as general partners of the Funds and Patriot GP and as members of Patriot LLC, (ii) Patriot LLC serves as general partner of Patriot GP and (iii) Patriot GP serves as general partner of the Funds, each of Messrs Wycoff, Lubert and Lynch, Patriot LLC and Patriot GP may be deemed to possess shared voting and dispositive power over the shares of Common Stock held by the Funds or 876,205 shares, or  6.6%,  of the outstanding Common Stock.
 
(c)           There were no transactions by members of the Patriot Financial Group in the Common Stock in last 60 days.
 
(d)           Not applicable.
 
(e)  
Not applicable.
 
Item 6.
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
 
As of the date of this Schedule 13D, except as described below, none of the Patriot Financial Group is a party to any contract, arrangement, understanding or relationship among themselves or with any other person with respect to any securities of the Company, including but not limited to transfer or voting of any of the Common Stock, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, the giving or withholding of proxies, or otherwise subject to a contingency the occurrence of which would give another person voting or investment power over the Common Stock.
 
 
 

 
 
 
     
 
CUSIP No. 139209 1 00
 13D/A
 
Page 11 of 14 Pages
 
 
On February 9, 2009, James Lynch and Patriot entered into an agreement with the Company (the “Agreement”), as described in Amendment No. 2 to Schedule 13D.  Pursuant to the Agreement , the Company appointed Mr. Lynch to the Boards of Directors of the Company and Cape Bank (the “Bank”).
 
On August 17, 2009, the parties determined that the Agreement was no longer necessary and, as result, mutually agreed to its termination.  Mr. Lynch remains a director of the Company and the Bank.
 
 
Item 7.
 Material to Be Filed as Exhibits
 
1
Joint Filer Statement *
 
2
 
___________
Agreement between Cape Bancorp, Inc. and James J. Lynch and Patriot Financial Partners, L.P., dated February 9, 2009.*
 
* Previously filed.
 
 
 
 
 

 
 
SIGNATURE
 
After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
 
Date:           August 26, 2009
 
   
 
PATRIOT FINANCIAL PARTNERS, L.P.
     
 
By:
/s/ James J. Lynch                                                                
   
James J. Lynch, a member of Patriot Financial Partners GP, LLC, the general partner of Patriot Financial Partners GP, L.P., the general partner of Patriot Financial Partners, L.P.
 
 
PATRIOT FINANCIAL PARTNERS PARALLEL, L.P.
     
 
By:
/s/ James J. Lynch                                                                
   
James J. Lynch, a member of Patriot Financial Partners GP, LLC, the general partner of Patriot Financial Partners GP, L.P., the general partner of Patriot Financial Partners, L.P.
 
 
PATRIOT FINANCIAL PARTNERS GP, L.P.
     
 
By:
/s/ James J. Lynch                                                                
   
James J. Lynch, a member of Patriot Financial Partners GP, LLC, the general partner of Patriot Financial Partners GP, L.P., the general partner of Patriot Financial Partners, L.P.
 
 
PATRIOT FINANCIAL PARTNERS GP, LLC
     
 
By:
/s/ James J. Lynch                                                                
   
James J. Lynch, a member
 
 
/s/ W. Kirk Wycoff                                                                        
 
W. Kirk Wycoff
 
 
/s/ Ira M. Lubert                                                                        
 
Ira M. Lubert
 
 
/s/ James J. Lynch                                                                        
 
James J. Lynch
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