10-Q/A 1 v329394_10qa.htm AMENDMENT TO FORM 10-Q

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 10-Q/A

(Amendment No. 1)

 

xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the quarterly period ended September 30, 2012

 

OR

 

¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES AND EXCHANGE ACT OF 1934

 

For the transition period from ______________ to _____________

 

Commission file number: 0-54447

 

                  NAUGATUCK VALLEY FINANCIAL CORPORATION

 

              (Exact name of registrant as specified in its charter)

 

MARYLAND   01-0969655
(State or other jurisdiction of incorporation or   (I.R.S. Employer Identification No.)
organization)    

 

333 CHURCH STREET, NAUGATUCK, CONNECTICUT   06770
(Address of principal executive offices)   (Zip Code)

 

(203) 720-5000

 

(Registrant’s telephone number, including area code)

 

N/A

 

(Former name, former address and former fiscal year, if changed since last report)

 

Indicate by check mark 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 x     No ¨

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (Section 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).

Yes x      No ¨

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definition of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one)

 

  Large Accelerated Filer ¨ Accelerated Filer ¨
  Non-Accelerated Filer ¨ Smaller Reporting Company x
  (Do not check if a smaller reporting company)  

 

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

Yes ¨       No x

 

Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.

 

As of November 26, 2012, there were 7,002,208 shares of the registrant’s common stock outstanding.

 

 
 

 

EXPLANATORY NOTE

 

The purpose of this Amendment No. 1 to the Registrant’s Quarterly Report on Form 10-Q/A is being filed solely to furnish the Interactive Data files as Exhibit 101. No other changes have been made to the Form 10-Q, as originally filed on November 28, 2012.

 

ITEM 6.   EXHIBITS
     

Exhibit No.

 

Document Description

31.1   Certification of Chief Executive Officer (Principal Executive Officer) pursuant to Rule 13A-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (1)
31.2   Certification of the Chief Financial Officer (Principal Financial Officer) pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (1)
32.1   Certification of Chief Executive Officer Pursuant to 18 U.S.C. 1350 (Section 906 of the Sarbanes-Oxley Act of 2002). (1)
32.2   Certification of Chief Financial Officer Pursuant to 18 U.S.C. 1350 (Section 906 of the Sarbanes-Oxley Act of 2002). (1)
101   Interactive Data File

 

 

(1) Filed as an exhibit to the Form 10-Q for the quarterly period ended September 30, 2012, filed on November 28, 2012.

 

 
 

 

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.

 

    NAUGATUCK VALLEY FINANCIAL CORPORATION
     
     
Dated: November 28, 2012   /s/ William C. Calderara
    William C. Calderara    
    President and Chief Executive Officer
    (principal executive officer)
     
Dated: November 28, 2012   /s/ Thomas Van Lenten
    Thomas Van Lenten    
    Chief Financial Officer