UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
Amendment No. 1
(Mark One)
☒ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended June 30, 2020
OR
☐ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to
Commission file number 0-28364
Norwood Financial Corp
(Exact name of registrant as specified in its charter)
Pennsylvania |
| 23-2828306 |
(State or other jurisdiction of incorporation or organization) |
| (I.R.S. employer identification no.) |
717 Main Street, Honesdale, Pennsylvania |
| 18431 |
(Address of principal executive offices) |
| (Zip Code) |
Registrant’s telephone number, including area code (570) 253-1455
N/A
Former name, former address and former fiscal year, if changed since last report.
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
| Trading symbol(s) |
| Name of each exchange on which registered |
Common Stock, par value $0.10 per share |
| NWFL |
| The Nasdaq Stock Market LLC |
Indicate by check (x) whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer”, “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer |
| ☐ |
| Accelerated filer |
| ☒ |
Non-accelerated filer |
| ☐ |
| Smaller reporting company |
| ☒ |
|
| Emerging growth company |
| ☐ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act): ☐ Yes ☒ No
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.
Class |
| Outstanding as of August 1, 2020 |
Common stock, par value $0.10 per share |
| 8,194,528 |
EXPLANATORY NOTE
This Amendment No. 1 to the Quarterly Report on Form 10-Q (this “Amended Form 10-Q”) of Norwood Financial Corp (the “Company”) amends the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2020 (the “Original Form 10-Q”), which was filed with the Securities and Exchange Commission (the “SEC”) on August 7, 2020. The Company is filing this Amended Form 10-Q because the Original Form 10-Q inadvertently omitted the signatures of the President and Chief Executive Officer and Executive Vice President and Chief Financial Officer on the signature page to the Original Form 10-Q.
As required by Rule 12b-15 of the Securities Exchange Act of 1934, as amended, new certifications by the Company’s principal executive officer and principal financial officer are included in this Amended Form 10-Q.
Except as described above, no other amendments have been made to the Original Form 10-Q. This Amended Form 10-Q does not reflect events that occurred after the date of the Original Form 10-Q, and except as described above, the Company has not modified or updated disclosures contained in the Original Form 10-Q to reflect any events that occurred after the date of the Original Form 10-Q.
Item 6. Exhibits
No. | Description |
31.1 | |
31.2 |
*Filed herewith.
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
NORWOOD FINANCIAL CORP | |||
Date: August 10, 2020 | By: | /s/ Lewis J. Critelli | |
Lewis J. Critelli | |||
President and Chief Executive Officer | |||
(Principal Executive Officer) | |||
Date: August 10, 2020 | /s/ William S. Lance | ||
William S. Lance | |||
Executive Vice President and | |||
Chief Financial Officer | |||
(Principal Financial Officer) |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
NORWOOD FINANCIAL CORP | |||
| By: | /s/ Lewis J. Critelli | |
Lewis J. Critelli President and Chief Executive Officer (Duly Authorized Representative) | |||
