UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 28, 2011
CARVER BANCORP, INC.
(Exact name of registrant as specified in its charter)
| | | | | |
| Delaware | | 1-13007 | | 13-3904174 |
| (State or other Jurisdiction of Incorporation) | | (Commission File Number) | | (IRS Employer Identification No.) |
| | | |
75 West 125th Street, New York, NY
| | 10027-4512 |
| (Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s telephone number, including area code:(212) 360-8820
| |
| |
| (Former name or former address if changed since last report.) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On March 28, 2011, Carver Bancorp, Inc. (the “Company”) received a letter from The NASDAQ Stock Market stating that the Company is not in compliance with the NASDAQ Listing Rule requiring securities listed on the NASDAQ Global Market maintain a minimum Market Value of Publicly Held Shares of $5.0 million.
The Company has until September 26, 2011 to regain compliance with respect to the minimum Market Value of Publicly Held Shares of $5.0 million. In the event the Company is not able to regain compliance, the Company may consider applying to transfer to The NASDAQ Capital Market (the “Capital Market”), which has a lower minimum Market Value of Publicly Held Shares of $1.0 million, among other requirements.
Item 9.01.Financial Statements and Exhibits
None.
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SIGNATURE
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 duly authorized.
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| | | CARVER BANCORP, INC. |
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| DATE: April 1, 2011 | | By: | | /s/ Mark A. Ricca |
| | | | | |
| | | | | Mark A. Ricca |
| | | | | Executive Vice President and Chief Risk Officer and
General Counsel |
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