-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ACu0dB9f2bjxIaJSgUuAXaAlXggIak5qorfLImrDWH6ttsnp+BSJ6MuU9kFKyweL w0RLv2nyauhFS2HZTQDJOw== 0000350852-04-000086.txt : 20041119 0000350852-04-000086.hdr.sgml : 20041119 20041119140945 ACCESSION NUMBER: 0000350852-04-000086 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041119 DATE AS OF CHANGE: 20041119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COMMUNITY TRUST BANCORP INC /KY/ CENTRAL INDEX KEY: 0000350852 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 610979818 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-31220 FILM NUMBER: 041157404 BUSINESS ADDRESS: STREET 1: 346 NORTH MAYO TRAIL STREET 2: P.O. BOX 2947 CITY: PIKEVILLE STATE: KY ZIP: 41502-2947 BUSINESS PHONE: (606)433-4643 MAIL ADDRESS: STREET 1: 346 NORTH MAYO TRAIL STREET 2: P.O. BOX 2947 CITY: PIKEVILLE STATE: KY ZIP: 41502-2947 FORMER COMPANY: FORMER CONFORMED NAME: COMMUNITY TRUST BANCORP INC/ DATE OF NAME CHANGE: 19971124 10-Q/A 1 ctbi10qa.htm SEPTEMBER 30, 2004 10-QA September 30, 2004 10-QA

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM 10-Q/A
Amendment No. 1

[X]
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the quarterly period ended September 30, 2004
   
 
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 0-11129

COMMUNITY TRUST BANCORP, INC.
(Exact name of registrant as specified in its charter)

Kentucky
61-0979818
(State or other jurisdiction of incorporation or organization)
IRS Employer Identification No.
   
346 North Mayo Trail
Pikeville, Kentucky
(address of principal executive offices)
41501
(Zip Code)

(606) 432-1414
(Registrant's telephone number)
 
 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 ü
No

 Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act).
Yes ü
No

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

Common stock - 13,468,810 shares outstanding at October 31, 2004

 
     

 

EXPLANATORY NOTE

 This Amendment No. 1 on Form 10-Q/A is being filed by Community Trust Bancorp, Inc. (the "Corporation") with respect to the Corporation's Quarterly Report on Form 10-Q for the quarter ended September 30, 2004 (the "Original Form 10-Q"), filed with the Securities and Exchange Commission (the "SEC") on November 9, 2004. This Amendment No. 1 is being filed solely for the purpose of amending the Certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. The Section 302 Certifications have been amended to reflect the permitted modifications to eliminate references to internal control over financial reporting until the compliance date for SEC rules relating to internal control over financial reporting.

 This Amendment No. 1 does not otherwise amend or alter the Original Form 10-Q. This Amendment No. 1 continues to be presented as of the date of the Original Form 10-Q and the Corporation has not updated any disclosure in the Original Form 10-Q to a later date.


PART II - OTHER INFORMATION
    
Item 6.
a. Exhibits:
 
 
(1) Certifications Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
Exhibit 31.1
Exhibit 31.2
 
(filed with this Amendment No. 1)
 
 
(2) Certifications Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
Exhibit 32.1
Exhibit 32.2
 
(previously filed with the Original Form 10-Q)
 
 
b. Reports on Form 8-K:
 
 
(1) On July 14, 2004, the Corporation issued a Form 8-K with respect to the issuance of its June 30, 2004 earnings release
 

 
     

 

SIGNATURES

 Pursuant to the requirements of the Securities Exchange Act of 1934, the Corporation has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 
  COMMUNITY TRUST BANCORP, INC.
   
 
  By:
   
   
   
Date: November 19, 2004
  /s/ Jean R. Hale            
 
  Jean R. Hale    
 
  Vice Chairman, President, and    
 
  Chief Executive Officer
   
   
 
  /s/ Kevin J. Stumbo            
 
  Kevin J. Stumbo    
 
  Executive Vice President/Controller    



     
EX-31 2 ex31a.htm AMENDED EXHIBIT 31 - 302 CERTIFICATIONS Amended Exhibit 31 - 302 Certifications

Exhibit 31.1

Certification of Principal Executive Officer

 I, Jean R. Hale, certify that:

(1) I have reviewed this quarterly report on Form 10-Q of Community Trust Bancorp, Inc. (the "Corporation");

(2) Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

(3) Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, and cash flows of the Corporation as of and for the periods presented in this report;

(4) The Corporation's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the Corporation and have:

(a) designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Corporation, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

  (b)

evaluated the effectiveness of the Corporation's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures as of the end of the period covered by this report based on such evaluation; and


  (c)

disclosed in this report any change in the Corporation's internal control over financial reporting that occurred during the Corporation's most recent fiscal quarter (the Corporation's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the Corporation's internal control over financial reporting; and


(5) The Corporation's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the Corporation's auditors and the Audit Committee of the Corporation's Board of Directors (or persons performing the equivalent functions):

(a) all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Corporation's ability to record, process, summarize, and report financial information; and

(b) any fraud, whether or not material, that involves management or other employees who have a significant role in the Corporation's internal control over financial reporting.


/s/ Jean R. Hale                
Jean R. Hale
Vice Chairman, President and CEO
November 19, 2004


  
     

 

Exhibit 31.2

Certification of Principal Financial Officer

 I, Kevin J. Stumbo, certify that:

(1) I have reviewed this quarterly report on Form 10-Q of Community Trust Bancorp, Inc. (the "Corporation");

(2) Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

(3) Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, and cash flows of the Corporation as of and for the periods presented in this report;

(4) The Corporation's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) for the Corporation and have:

(a) designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the Corporation, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

  (b)

evaluated the effectiveness of the Corporation's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures as of the end of the period covered by this report based on such evaluation; and


  (c)

disclosed in this report any change in the Corporation's internal control over financial reporting that occurred during the Corporation's most recent fiscal quarter (the Corporation's fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the Corporation's internal control over financial reporting; and


(5) The Corporation's other certifying officer(s) and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the Corporation's auditors and the Audit Committee of the Corporation's Board of Directors (or persons performing the equivalent functions):

(a) all significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the Corporation's ability to record, process, summarize, and report financial information; and

(b) any fraud, whether or not material, that involves management or other employees who have a significant role in the Corporation's internal control over financial reporting.


/s/ Kevin J. Stumbo            
Kevin J. Stumbo
Executive Vice President/Controller
November 19, 2004

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