-----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, KFN/n/osjtZKFPUUc10ONgtIzOZhqS0EG/X1KwqZVMOsgTkGsM/7hhzrhyL04HHr 3A+eCYv9eB23YeG65B1Wdw== 0001171843-09-000685.txt : 20090721 0001171843-09-000685.hdr.sgml : 20090721 20090721140331 ACCESSION NUMBER: 0001171843-09-000685 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090528 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20090721 DATE AS OF CHANGE: 20090721 FILER: COMPANY DATA: COMPANY CONFORMED NAME: QCR HOLDINGS INC CENTRAL INDEX KEY: 0000906465 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 421397595 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-22208 FILM NUMBER: 09954822 BUSINESS ADDRESS: STREET 1: 3551 7TH STREET CITY: MOLINE STATE: IL ZIP: 61265 BUSINESS PHONE: 3097363580 MAIL ADDRESS: STREET 1: 3551 7TH STREET CITY: MOLINE STATE: IL ZIP: 61265 FORMER COMPANY: FORMER CONFORMED NAME: QUAD CITY HOLDINGS INC DATE OF NAME CHANGE: 19930805 8-K 1 f8k_072109.htm FORM 8K Unassociated Document
 
 

 

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) July 21, 2009
 
QCR Holdings, Inc.
(Exact name of registrant as specified in its charter)

Commission File Number:  000-22208


 
Delaware
42-1397595
(State or other jurisdiction of incorporation)
(I.R.S. Employer Identification Number)

 
3551 Seventh Street
Moline, Illinois 61265
(Address of principal executive offices, including zip code)
 
 
(309) 743-7721
(Registrant's telephone number, including area code)

N/A
(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 (see General Instruction A.2 below):

 
[ ]
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
     
 
[ ]
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
     
 
[ ]
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
     
 
[ ]
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 

 
 

 

 
 
Item 5.04.  Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans
 
 
On July 21, 2009, QCR Holdings, Inc. (the “Company”) sent a notice to its directors and executive officers informing them that a blackout period will be in effect beginning on August 20, 2009 and ending the week of October 4, 2009 (unless otherwise extended).  The blackout period is a result of a change in record-keepers for the QCR Holdings, Inc. 401(k) Profit Sharing Plan. The blackout period restricts directors and executive officers from, directly or indirectly, purchasing, acquiring, exercising, selling or otherwise transferring certain equity securities of the Company.  The notice was provided to the Company’s directors and executive officers in accordance with Section 306 of the Sarbanes-Oxley Act of 2002 and Rule 104 of Regulation BTR.
 
A copy of the notice is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 9.01  Financial Statements and Exhibits

(d)           Exhibits

 
99.1  Form of notice dated July 21, 2009
 

 
 

 

SIGNATURES

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


 
QCR Holdings, Inc.


 
 Dated:  July 21, 2009  By: /s/ Douglas M. Hultquist  
     Douglas M. Hultquist  
     President and Chief Executive Officer  

EX-99 2 exh_991.htm EXHIBIT 99.1 Unassociated Document

Exhibit 99.1



IMPORTANT NOTICE CONCERNING YOUR RIGHTS
REGARDING QCR HOLDINGS, INC. STOCK
 
July 21, 2009

As a director or executive officer of QCR Holdings, Inc. (“QCR Holdings”), you are subject to the restrictions under Section 306(a) of the Sarbanes-Oxley Act of 2002 (the “Act”), which prohibits certain trades during employee benefit plan blackout periods.

1.  
This notice is to inform you that as a director or executive officer of QCR Holdings, you will be unable to, either directly or indirectly, purchase, sell or otherwise acquire or transfer any of your QCR Holdings stock that you acquired in connection with your services or employment as a director or executive officer, due to a blackout period under the QCR Holdings, Inc. 401(k) Profit Sharing Plan (the “Plan”).
 
2.  
The Plan’s blackout period is a result of changing recordkeepers.  During the blackout period, Plan participants will not be able to direct or diversify investments in their individual accounts, obtain loans, or obtain distributions.  This includes participants’ investments in the QCR Holdings stock fund under the Plan. Accordingly, a concurrent restriction on trading by all directors and executive officers under Section 306(a) of the Act will apply.
 
3.  
The blackout period will specifically apply to your QCR Holdings common stock and Series B and Series C Preferred Stock.
 
4.  
The blackout period for the Plan is expected to begin August 20, 2009 and end the week of October 4, 2009.  During these weeks, you can determine whether the blackout period has started or ended by contacting Shellee Showalter, using the information below.
 
5.  
During the blackout period, you will be prohibited from, directly or indirectly, purchasing, selling or otherwise acquiring or transferring any equity securities of QCR Holdings (or derivative securities of those equity securities, such as stock options).  The prohibition on transactions by you applies both to amounts, if any, you may have invested in QCR Holdings stock under the Plan and to QCR Holdings stock you hold outside of the Plan.  This prohibition also applies to any direct or indirect pecuniary interest you may have in such securities, such as QCR Holdings stock held by immediate family members living with you, or held in trust, or by controlled partnerships or corporations.  The prohibition on purchases, sales and other transactions does not apply to trades made pursuant to Rule 10b5-1 trading plans, provided that you did not enter into or modify the trading plan during the blackout period, or while aware of the actual or approximate beginning or ending dates of the blackout period.
 
6.  
If you have any questions regarding the blackout period, you should contact:
 
   
Shellee R. Showalter
QCR Holdings, Inc.
3551 7th Street
Moline, Illinois 61265
 (309) 743-7760
(888) 501-7966 ext. 7760
 

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