13D Filing: Endicott Management and Metropolitan Bank Holding Corp (MCB)

Item 6.

CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER

The Reporting Persons are parties to an agreement with respect to the joint filing of this Schedule 13D and any amendments thereto. A copy of such agreement is attached as Exhibit 1 to this Schedule 13D and is incorporated by reference herein.

The Reporting Persons also hold 272,636 shares of Series F Non-Voting Preferred Stock.

Except as otherwise described herein or in Item 4 of this Schedule 13D, there are no contracts, arrangements, understandings or relationships (legal or otherwise) between the person enumerated in Item 2 and any other person with respect to any securities of the Issuer.

Item 7.

MATERIAL TO BE FILED AS EXHIBITS

Exhibit 1

Exhibit 1: Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Act.

Exhibit 2

Exhibit 2: Investor Rights Letter Agreement dated June 21, 2016

Exhibit 3

Exhibit 3: Registration Rights Agreement dated June 21, 2016 (incorporated by reference to Exhibit 10.1 to the Issuer’s Registration Statement on Form S-1 filed with the SEC on October 4, 2017)

13D Filing: Endicott Management and Metropolitan Bank Holding Corp (MCB)

Published on November 21, 2017 at 10:21 am by Insider Monkey Staff in Hedge Funds

Page 10 of 11 – SEC Filing

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