| (1) | Financial Statements: The Consolidated Financial Statements are included in Part II. “Item. 8 Financial Statements and Supplementary Data”. |
| (2) | Financial Statements Schedules: All schedules are omitted because they are not required or applicable, or the required information is shown in the Consolidated Financial Statements or Notes. |
| (3) | Exhibits: Included in schedule below. |
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| ExhibitNumber | | Description |
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| 3.1 | | Articles of Incorporation of BayCom Corp(1) |
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| 3.2 | | Amended and Restated Bylaws of BayCom Corp(2) |
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| 4.1 | | Form of common stock certificate of BayCom Corp(1) |
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| 4.2 | | Description of BayCom Corp’s Securities(3) |
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| 4.3 | | Indenture, date August 6, 2020, between BayCom Corp and Wilmington Trust, National Association, as Trustee(4) |
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| 4.4 | | First Supplemental Indenture, dated August 6, 2020, between BayCom Corp and Wilmington Trust, National Association, as Trustee(4) |
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| 4.5 | | Form of 5.25% Fixed-to-Floating Rate Subordinated Note due 2030 (included in Exhibit 4.2)(4) |
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| 10.1+ | | Amended and Restated Employment Agreement, dated March 5, 2021, among BayCom Corp, United Business Bank and George Guarini⁽⁵⁾ |
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| 10.2+ | | Amendment No. 1 dated January 17, 2024 to the Amended and Restated Employment Agreement, dated March 5, 2021, by among BayCom Corp, United Business Bank and George Guarini(6) |
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| 10.3+ | | Amended and Restated Employment Agreement, dated March 5, 2021, among BayCom Corp, United Business Bank and Janet King⁽⁵⁾ |
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| 10.4+ | | Amendment No. 1 dated January 17, 2024 to the Amended and Restated Employment Agreement, dated March 5, 2021, by among BayCom Corp, United Business Bank and Janet King(6) |
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| 10.5+ | | Amended and Restated Employment Agreement, dated March 5, 2021, among BayCom Corp, United Business Bank and Keary Colwell⁽⁵⁾ |
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| 10.6+ | | Amendment No. 1 to the Amended and Restated Employment Agreement, dated January 19, 2024, among BayCom Corp, United Business Bank and Keary Colwell(6) |
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| 10.7+ | | Amended and Restated Executive Supplemental Compensation Agreement, dated February 20, 2018, between United Business Bank and George J. Guarini(7) |
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| 10.8+ | | Amended and Restated Executive Supplemental Compensation Agreement, dated February 20, 2018, between United Business Bank and Janet King(1) |
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| 10.9+ | | Amended and Restated Executive Supplemental Compensation Agreement, dated February 20, 2018, between United Business Bank and Keary Colwell.(1) |
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| 10.10+ | | Amended and Restated Joint Beneficiary Agreement between United Business Bank and George Guarini(1) |
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| 10.11+ | | Amendment No. 1 to Amended and Restated Joint Beneficiary Agreement by and between United Business Bank and George J. Guarini, Dated June 20, 2023⁽⁷⁾ |
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| 10.12+ | | BayCom Corp Amended and Restated 2017 Omnibus Equity Incentive Plan(1) |
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| 10.13+ | | Form of Restricted Stock Award Agreement under the BayCom Corp Amended and Restated 2017 Omnibus Equity Incentive Plan(1) |
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| 10.14+ | | Form of Non-Qualified Stock Option Agreement under the BayCom Corp Amended and Restated 2017 Omnibus Equity Incentive Plan(1) |
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| 10.15+ | | Form of Incentive Stock Option Agreement under the BayCom Corp Amended and Restated 2017 Omnibus Equity Incentive Plan(1) |
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| 10.16+ | | Form of Restricted Stock Unit Agreement under the BayCom Corp Amended and Restated 2017 Omnibus Equity Incentive Plan(1) |
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| 10.17+ | | Joint Beneficiary Agreement between United Business Bank and Janet King(1) |
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| 10.18+ | | Amendment No. 1 to Joint Beneficiary Agreement by and between United Business Bank and Janet King, dated June 20, 2023⁽⁷⁾ |
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| 10.19+ | | Joint Beneficiary Agreement between United Business Bank and Keary Colwell(1) |
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| 10.20+ | | Amendment No. 1 to Joint Beneficiary Agreement by and between United Business Bank and Keary Colwell, dated June 20, 2023(7) |
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| 10.21+ | | Joint Beneficiary Agreement between United Business Bank and Mery Therese Curley⁽⁸⁾ |
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| 10.22+ | | Summary of Annual Incentive Bonus program(9) |
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| 14 | | Code of Business Conduct and Ethics(10) |
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| 21 | | Subsidiaries of the Registrant(11) |
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| 23.1 | | Consent of Moss Adams LLP |
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| 24 | | Power of Attorney (set forth on signature page). |
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| 31.1 | | Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
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| 31.2 | | Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
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| 32 | | Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
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| 97 | | Policy relating to Recovery of Erroneously Awarded Compensation |
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| 101 | | The following materials from the Company’s Annual Report on Form 10-K for the year ended December 31, 2023 formatted in Extensible Business Reporting Language (XBRL): (1) Consolidated Balance Sheets; (2) Consolidated Statements of Income; (3) Consolidated Statements of Comprehensive Income; (4) Consolidated Statements of Changes in Shareholders’ Equity; (5) Consolidated Statements of Cash Flows; and (6) Notes to Consolidated Financial Statements. |
| | | |
| 104 | | Cover Page Interactive Data File - (formatted as Inline XBRL and contained in Exhibit 101) |
+Indicates management contract or compensatory plan or arrangement.
| (1) | Incorporated herein by reference to the Registration Statement on Form S-1 filed on April 11, 2018 (File No. 333-224236). |
| (2) | Incorporated herein by reference to the Registrant’s Current Report on Form 8-K filed with the SEC on June 17, 2020 (File No. 001-38483). |
| (3) | Incorporated herein by reference to Exhibit 4.2 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2019 (File No. 001-38433). |
| (4) | Incorporated herein by reference to the Registrant’s Current Report on Form 8-K filed with the SEC on August 10, 2020 (File No. 001-38483). |
| (5) | Incorporated herein by reference to the Registrant’s Current Report on Form 8-K filed with the SEC on March 9, 2021 (File No. 001-38483). |
| (6) | Incorporated herein by reference to the Registrant’s Current Report on Form 8-K filed with the SEC on January 19, 2024 (File No. 001-38483). |
| (7) | Incorporated herein by reference to the Registrant’s Current Report on Form 8-K filed with the SEC on June 23, 2023 (File No. 001-38483). |
| (8) | Incorporated herein by reference to Exhibit 10.17 to the Registrant’s Quarterly Report on Form 10-Q for the ended June 30, 2018, filed on August 14, 2018 (File No. 001-38433). |
| (9) | Incorporated herein by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q for the ended March 31, 2021, filed on May 13, 2021 (File No. 001-38433). |
| (10) | Registrant elects to satisfy Regulation S-K §229.406(c) by posting its Code of Ethics on its website at www.unitedbusinessbank.com in the section titled About Us — Investor Information. |
| (11) | Incorporated herein by reference to Exhibit 21 to the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2019 (File No. 001-38433). |
