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PART IV
ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES, AND REPORTS ON FORM 8-K
(a)
Exhibits
Exhibit #
Description
2.1
Agreement and Plan of Consolidation by and among Sierra Bancorp, Bank of the Sierra and Santa Clara Valley Bank, N.A.,
dated as of July 17, 2014 (1)
3.1
Restated Articles of Incorporation of Sierra Bancorp (2)
3.2
Amended and Restated By-laws of Sierra Bancorp (3)
10.1
1998 Stock Option Plan (4)
10.2
Salary Continuation Agreement for Kenneth R. Taylor (5)
10.3
Salary Continuation Agreement for James C. Holly (5)
10.4
Salary Continuation Agreement and Split Dollar Agreement for James F. Gardunio (6)
10.5
Split Dollar Agreement for Kenneth R. Taylor (7)
10.6
Split Dollar Agreement and Amendment thereto for James C. Holly (7)
10.7
Director Retirement Agreement and Split dollar Agreement for Vincent Jurkovich (7)
10.8
Director Retirement Agreement and Split dollar Agreement for Robert Fields (7)
10.9
Director Retirement Agreement and Split dollar Agreement for Gordon Woods (7)
10.10
Director Retirement Agreement and Split dollar Agreement for Morris Tharp (7)
10.11
Director Retirement Agreement and Split dollar Agreement for Albert Berra (7)
10.12
401 Plus Non-Qualified Deferred Compensation Plan (7)
10.13
Indenture dated as of March 17, 2004 between U.S. Bank N.A., as Trustee, and Sierra Bancorp, as Issuer (8)
10.14
Amended and Restated Declaration of Trust of Sierra Statutory Trust II, dated as of March 17, 2004 (8)
10.15
Guarantee Agreement between Sierra Bancorp and U.S. Bank National Association dated as of March 17, 2004 (8)
10.16
Indenture dated as of June 15, 2006 between Wilmington Trust Co., as Trustee, and Sierra Bancorp, as Issuer (9)
10.17
Amended and Restated Declaration of Trust of Sierra Capital Trust III, dated as of June 15, 2006 (9)
10.18
Guarantee Agreement between Sierra Bancorp and Wilmington Trust Company dated as of June 15, 2006 (9)
10.19
2007 Stock Incentive Plan (10)
10.20
Sample Retirement Agreement Entered into with Each Non-Employee Director Effective January 1, 2007 (11)
10.21
Salary Continuation Agreement for Kevin J. McPhaill (11)
10.22
First Amendment to the Salary Continuation Agreement for Kenneth R. Taylor (11)
10.23
Second Amendment to the Salary Continuation Agreement for Kenneth R. Taylor (12)
11
Statement of Computation of Per Share Earnings (13)
21
Subsidiaries of Sierra Bancorp (14)
23
Consent of Vavrinek, Trine, Day & Co., LLP
31.1
Certification of Chief Executive Officer (Section 302 Certification)
31.2
Certification of Chief Financial Officer (Section 302 Certification)
32
Certification of Periodic Financial Report (Section 906 Certification)
___________________________
(1)
Filed as an Exhibit to the Form 8-K filed with the SEC on July 18, 2014 and incorporated herein by reference.
(2)
Filed as Exhibit 3.1 to the Form 10-Q filed with the SEC on August 7, 2009 and incorporated herein by reference.
(3)
Filed as an Exhibit to the Form 8-K filed with the SEC on February 21, 2007 and incorporated herein by reference.
(4)
Filed as an Exhibit to the Registration Statement of Sierra Bancorp on Form S-4 filed with the Securities and Exchange Commission (SEC)
(Registration No. 333-53178) on January 4, 2001 and incorporated herein by reference.
(5)
Filed as Exhibits 10.5 and 10.7 to the Form 10-Q filed with the SEC on May 15, 2003 and incorporated herein by reference.
(6)
Filed as an Exhibit to the Form 8-K filed with the SEC on August 11, 2005 and incorporated herein by reference.
(7)
Filed as Exhibits 10.10, 10.12, and 10.15 through 10.20 to the Form 10-K filed with the SEC on March 15, 2006 and incorporated herein by
reference.
(8)
Filed as Exhibits 10.9 through 10.11 to the Form 10-Q filed with the SEC on May 14, 2004 and incorporated herein by reference.
(9)
Filed as Exhibits 10.26 through 10.28 to the Form 10-Q filed with the SEC on August 9, 2006 and incorporated herein by reference.
(10)
Filed as Exhibit 10.20 to the Form 10-K filed with the SEC on March 15, 2007 and incorporated herein by reference.
(11)
Filed as an Exhibit to the Form 8-K filed with the SEC on January 8, 2007 and incorporated herein by reference.
(12)
Filed as Exhibit 10.23 to the Form 10-K filed with the SEC on March 13, 2014 and incorporated herein by reference.
(13)
Computation of earnings per share is incorporated by reference to Note 6 to the Financial Statements included herein.
(14)
Filed as Exhibit 21 to the Form 10-K filed with the SEC on March 15, 2007 and incorporated herein by reference
