Document:

Third Amendment to the PCB Amended and Restated Incentive and Investment Plan

 Exhibit 10.6.3 
 THIRD AMENDMENT TO THE 
 PACIFIC CAPITAL BANCORP AMENDED AND RESTATED
INCENTIVE AND 
 INVESTMENT AND SALARY SAVINGS PLAN 
 WHEREAS, Pacific Capital Bancorp (the “Employer”) adopted a restatement of the Pacific Capital Bancorp Amended and Restated Incentive and Investment and Salary Savings Plan (the
“Plan”), effective as of January 1, 2009, and various subsequent amendments, and; 
 WHEREAS, the Employer has the ability to
amend the Plan pursuant to Article 11.1; and 
 WHEREAS, the Employer now desires to amend the Plan in connection with the merger of the Pacific
Capital Bancorp Employee Stock Ownership Plan and Trust with the Plan to preserve protected benefits. 
 NOW, THEREFORE, the Employer hereby
amends the Plan in the following respects, effective as of August 26, 2010: 
  

	1.	Items 4 and 5 are added to the Protected Benefits Addendum as follows: 

  

	 	4.	Accounts transferred from the Pacific Capital Bancorp Employee Stock Ownership Plan and Trust are fully vested. 

 

	 	5.	Notwithstanding Section 15.7 of the Adoption Agreement, A Participant who has reached Age 65 can withdraw all or a portion of his or her accounts transferred from
the Pacific Capital Bancorp Employee Stock Ownership Plan and Trust. 

  

	2.	In all other respects, the terms of this Plan are hereby ratified and confirmed. 

 IN WITNESS WHEREOF, the Employer has caused this Third Amendment to be executed in duplicate counterparts, each of which shall be considered as an original, as of the date indicated below. 

 

							
		 		 	PACIFIC CAPITAL BANCORP
				
	 /s/ Terri Ipsen
	 		 	By:	 	 /s/ Noma Bruton

	Witness	 		 	  
 Title:
	 	  
 Chief Human Resources Officer

				
		 		 	Date:	 	9/30/2010Fourth Amendment to the PCB Amended and Restated Incentive and Investment Plan

 Exhibit 10.6.4 
 FOURTH AMENDMENT TO THE 
 PACIFIC CAPITAL BANCORP AMENDED AND RESTATED
INCENTIVE AND 
 INVESTMENT AND SALARY SAVINGS PLAN 
 WHEREAS, Pacific Capital Bancorp (the “Employer”) adopted a restatement of the Pacific Capital Bancorp Amended and Restated Incentive and Investment and Salary Savings Plan (the
“Plan”), effective as of January 1, 2009, and various subsequent amendments, and; 
 WHEREAS, the Employer has the ability to
amend the Plan pursuant to Article 11.1; and 
 WHEREAS, the Employer now desires to amend the Plan to change certain match provisions and add
an automatic enrollment feature. 
 NOW, THEREFORE, the Employer hereby amends the Plan in the following respects, effective as of the dates
indicated below: 
  

	1.	Effective April 1, 2011 Section 4.1(c) of the Adoption Agreement is amended as follows: 

 

					
	(c)	 	x	  	Automatic Enrollment. Automatic enrollment is permitted. The terms of the automatic enrollment, including but not limited to the percentage, automatic increases to
that percentage, the proportion that is considered a Pre-Tax Elective Deferral and/or a Roth Elective Deferral, and the Participants to whom it applies, will be set forth in an administrative policy regarding Elective Deferrals as promulgated from
time to time by the Administrator.

  

	2.	Effective January 1, 2011 Section 6.2(a) of the Adoption Agreement is amended as follows: 

 

					
	(a)	 	Participants who are still Employees on the last day of the Allocation Period (check one)
		 	x	  	Will always be Benefiting Participants regardless of Service
		 	 ̈	  	Must be credited with              (max. 1,000) Hours of Service in the Allocation
Period
		 	 ̈	  	Must be credited with a              (max. 6) month Period of Service in the Allocation
Period
		 	 ̈	  	Must be credited with              (max. 6) consecutive calendar months of employment in the Allocation
Period
		 	 ̈	  	Must be credited with              (max. 182) consecutive days of employment in the Allocation
Period

  

	3.	Effective January 1, 2011 Section 10.4 of the Adoption Agreement is amended as follows: 

 

									
	x	 	Non-Safe Harbor Matching Contributions. A Participant’s Vested Interest in his or her Non-Safe Harbor Matching Contribution Account will be determined
by the provisions below selected below.
		
		 	 (a) The Vesting schedule for Non-Safe Harbor Matching Contributions in a non-Top Heavy Plan Year is:

 (check one)

		 		  	x    100% full and immediate
		 		  	 ̈    The schedule set forth below
					
		 		  		 	  1 Year / Period of Service	 	        %
		 		  		 	  2 Years / Periods of Service	 	        % (must be at least 20% unless 100% Vesting occurs after 3 years)
		 		  		 	  3 Years / Periods of Service	 	        % (must be at least 40%)
		 		  		 	  4 Years / Periods of Service	 	        % (must be at least 60%)
		 		  		 	  5 Years / Periods of Service	 	        % (must be at least 80%)
		 		  		 	  6 Years / Periods of Service	 	        % (must be 100%)
		
		 	(b) The Vesting schedule for Non-Safe Harbor Matching Contributions in a Top Heavy Plan Year is:
		 	(check one)
		 		  	 x    100% full and immediate

 ̈    The schedule set forth
below

									
		 		  		 	1 Year / Period of Service	 	        %
		 		  		 	2 Years / Periods of Service	 	        % (must be at least 20% unless 100% Vesting occurs after 3 years)
		 		  		 	3 Years / Periods of Service	 	        % (must be at least 40%)
		 		  		 	4 Years / Periods of Service	 	        % (must be at least 60%)
		 		  		 	5 Years / Periods of Service	 	        % (must be at least 80%)
		 		  		 	6 Years / Periods of Service	 	        % (must be 100%)
				
		 	(c)	  	 ̈	 	Vesting Schedule for Pre-EGTRRA Contributions. Notwithstanding paragraphs (a) and (b) above, a Participant’s Vested Interest in Non-Safe Harbor
Matching Contributions which were made to the Plan prior to January 1, 2001 will be determined in accordance with the Vesting schedule in effect when such contributions were made to the Plan.
				
		 	(d)	  	 ̈	 	Service Excluded for Vesting. All Service with the Employer is counted in determining a Participant’s Vested Interest in the Non-Safe Harbor Matching
Contribution Account except the following: (check all that apply)
		 		  		 	 ̈  Service before age 18
		 		  		 	 ̈  Service before the Employer maintained this Plan or a predecessor plan
		 		  		 	 ̈  Service during a period for which the Employee made no mandatory contributions to the
Plan

  

	4.	In all other respects, the terms of this Plan are hereby ratified and confirmed. 

 IN WITNESS WHEREOF, the Employer has caused this Fourth Amendment to be executed in duplicate counterparts, each of which shall be considered as an original, as of the date indicated below. 

 

							
		 		 	PACIFIC CAPITAL BANCORP
				
	 Terri Ipsen 2/8/11
	 		 	By:	 	 Noma Bruton

	 Witness
  
	 		 	Title:	 	  
 Chief Human Resources
Officer

				
		 		 	Date:	 	 2/8/2011Amendment to Pacific Capital Bancorp Deferred Compensation Plan

 Exhibit 10.8.1 
 PACIFIC CAPITAL BANCORP 
 DEFERRED COMPENSATION PLAN 

AMENDMENT 

This Amendment is entered into and effective as of November 8, 2010, to amend the Pacific Capital Bancorp Deferred Compensation Plan
(the “DC Plan”), effective January 1, 2005, as described herein. 
 WHEREAS, the DC Plan is a nonqualified
deferred compensation plan that allows certain select employees (the “Participants”) to defer compensation as an means to further supplement their retirement savings. 

WHEREAS, in addition to the DC Plan, the Company sponsors the Pacific Capital Bancorp Amended and Restated Incentive and Investment and
Salary Savings Plan (the “401(k) Plan”), which allows eligible employees (as defined in the 401(k) Plan), including the DC Plan Participants, to defer compensation and receive employer contributions, subject to the qualified plan
limitations of the Internal Revenue Code of 1986, as amended (the “Qualified Plan Limits”); 
 WHEREAS, at the
beginning of each calendar year, many of the DC Plan Participants who also participate in the 401(k) Plan receive taxable distributions from the 401(k) Plan because their prior year contributions to the 401(k) Plan were in excess of the Qualified
Plan Limits; and 
 WHEREAS, the Company desires to amend the DC Plan to allow the Participants to elect an automatic increase
in their Annual Deferral Amount (as defined in the DC Plan) to offset any distributions they receive from the 401(k) Plan as a result of the Qualified Plan Limits. 
 NOW, THEREFORE, the DC Plan is hereby amended as follows: 
  

	1.	Article 1 shall be amended to add the following new Section 1.1 and the remaining Sections shall be renumbered accordingly: 

 

	 	“1.1	“Annual 401(k) Refund Offset Amount” shall mean an amount equal to any forced reduction in a Participant’s 401(k) deferrals for a Plan Year (i) that
are refunded to such Participant for any reason (including, but not limited to, as a result of nondiscrimination testing), and (ii) that such Participant has affirmatively elected under this Plan to defer from Annual Base Salary.”

  

	2.	Section 1.3 (as renumbered) shall be deleted in its entirety and replaced with the following: 

 

	 	“1.3	 “Annual Deferral Amount” shall mean that portion of a Participant’s Annual Base Salary, Bonus, Directors Fees and Annual 401(k) Refund
Offset Amount that a Participant elects to have deferred, and is deferred, in accordance with Article 3 for any one Plan Year. In the event of a Participant’s Retirement, Disability, death or a Termination of Employment prior to the end of a
Plan Year, such 

  
 1 

	 	 
year’s Annual Deferral Amount shall be the actual amount withheld prior to such event.” 

 

	3.	Section 3.1 shall be amended to add new Section 3.1(c): 

  

	 	“(c)	Annual 401(k) Offset Amount. Notwithstanding the foregoing, the required minimum deferral amount described above shall not apply to an Annual 401(k)
Offset Amount.” 

  

	4.	Section 3.2 shall be amended to add new Section 3.2(c): 

  

	 	“(c)	Annual 401(k) Offset Amount. Notwithstanding the foregoing, the maximum deferral percentage described above shall not apply to an Annual 401(k) Offset
Amount.” 

  

	5.	Section 3.4 shall be deleted and in its entirety and replaced with the following: 

 

	 	“3.4	Withholding of Annual Deferral Amounts. For each Plan Year, the Annual Base Salary portion of the Annual Deferral Amount shall be withheld from each
regularly scheduled Annual Base Salary payroll period in equal amounts, as adjusted from time-to-time for increases and decreases in Annual Base Salary. The Bonus and/or Directors Fees portion of the Annual Deferral Amount shall be withheld at the
time the Bonus or Directors Fees are, or otherwise would be paid, to the Participant. A pro rata portion of the Participant’s Annual 401(k) Refund Offset Amount, if any, shall be withheld from Annual Base Salary that becomes payable at each
regularly scheduled Annual Base Salary payroll period remaining in the Plan Year, commencing with the first Annual Base Salary payroll period following the Participant’s receipt of a forced refund of his or her prior year 401(k) deferrals or as
soon as practical thereafter.” 

  

	6.	Except as specifically provided in this Amendment, the remaining provisions of the Plan, as amended, shall remain in full force and effect. 

The Company has caused this Amendment to be signed by a duly authorized officer effective as of the date first above written. 

 

			
	COMPANY:
	
	PACIFIC CAPITAL BANCORP
		
	By:	 	 /s/ Noma Bruton

		 	Noma Bruton, Plan Sponsor

			
		
	Date:	 	 December 9, 2010

  
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