10-Q/A 1 q12013edgarfiles-revised.htm  

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM 10-Q/A

Amendment No. 1

 

(Mark One)

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

For the quarterly period ended March 31, 2013

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 001-33872

 

Susquehanna Bancshares, Inc.

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

Pennsylvania

23-2201716

(State or Other Jurisdiction

of Incorporation or Organization)

(I.R.S. Employer

Identification No.)

 

 

26 North Cedar St., Lititz, Pennsylvania

17543

(Address of Principal Executive Offices)

(Zip Code)

Registrant’s telephone number, including area code (717) 626-4721

 

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 (§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 definition of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

 

 

 

 

Large Accelerated Filer

x

Accelerated Filer

¨

Non-Accelerated Filer

¨  (Do not check if a smaller reporting company)

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  

As of April 30, 2013, there were 186,462,380 shares of the registrant’s common stock outstanding, par value $2.00 per share.

 

 


 

 

 

 

Explanatory Note

 

                On May 7, 2013, Susquehanna Bancshares, Inc. (“Susquehanna”) filed its Quarterly Report on Form 10-Q for the quarter ended March 31, 2013.  Due to a filing error, certain line items were omitted from the Consolidated Statements of Income data contained in the XBRL Interactive Data exhibit to the Form 10-Q, although all such line items were included in the Consolidated Statements of Income contained in the body of the Form 10-Q.  The sole purpose of this amendment is to file a corrected version of the XBRL Interactive Data contained in Exhibit 101.

 

 


 

 

 

 

PART II - OTHER INFORMATION

 

 

 

 

 

 

 

 

 

 

 

 

Item 6. Exhibits.†

 

 

 

 

 

 

 

 

 

 

 

 

The Exhibits filed as part of this report are as follows:

 

 

 

 

 

 

 

 

 

 

 

 

3.1**

Amended and Restated Articles of Incorporation, dated May 6, 2011, incorporated by reference to Exhibit 3.1 to Susquehanna’s Quarterly Report on Form 10-Q, filed August 8, 2011.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3.2**

Amended and Restated By-Laws, dated February 24, 2011, incorporated by reference to Exhibit 3.1 of Susquehanna’s Current Report on Form 8-K, filed March 2, 2011.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.1**

Indenture, dated as of August 13, 2012, between Susquehanna Bancshares, Inc. and The New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 in Susquehanna's Current Report on Form 8-K, filed August 8, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.2**

First Supplemental Indenture, dated as of August 13, 2012, between Susquehanna Bancshares, Inc. and The New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.2 to Susquehanna's Current Report on Form 8-K, filed August 8, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.3**

Form of Note (included in Exhibit 4.2 above), incorporated by reference to Exhibit 4.2 to Susquehanna's Current Report on Form 8-K, filed August 8, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10.1**

Supplemental Executive Retirement Plan (Amended and Restated, effective as of January 1, 2012), incorporated by reference to Exhibit 10.1 to Susquehanna's Current Report on Form 8-K, filed August 23, 2012.*

 

 

 

 

 

 

 

 

 

 

 

 

 

 

31.1**

Rule 13a-14(a)/15d-14(a) Certification by Chief Executive Officer.

 

 

 

 

 

 

 

 

 

 

 

 

31.2**

Rule 13a-14(a)/15d-14(a) Certification by Chief Financial Officer.

 

 

 

 

 

 

 

 

 

 

 

 

32**

Section 1350 Certifications.

 

 

 

 

 

 

 

 

 

 

 

 

101.INS

XBRL Instance Document

 

 

 

 

 

 

 

 

 

 

 

 

101.SCH

XBRL Taxonomy Extension Schema Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.CAL

XBRL Taxonomy Extension Calculation Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.LAB

XBRL Taxonomy Extension Label Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.PRE

XBRL Taxonomy Extension Presentation Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.DEF

XBRL Taxonomy Extension Definitions Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

Upon request by the SEC, the registrant agrees to furnish to the SEC a copy of any instrument with respect to unregistered long-term debt of the registrant in accordance with Item 601(b)(4)(iii)(A) of Regulation S-K promulgated under the Exchange Act.

 

 

 

*

Management contract or compensation plan or arrangement required to be filed or incorporated as an exhibit.

 

**

Previously filed.

 

 

 

 

 

 

 

 

 

 

 


 

 

 

 

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.

 

                                                                                            SUSQUEHANNA BANCSHARES, INC.           

 

 

May 15, 2013                                                                  /s/ William J. Reuter                                                                                                                                                                                                                       William J. Reuter

                                                                                            Chairman and Chief Executive Officer

 

 

May 15, 2013                                                                  /s/ Drew K. Hostetter                                                              

                                                                                          Drew K. Hostetter

                                                                                    Executive Vice President and Chief

                                                                                            Financial Officer

 

 


 

 

 

 

Exhibit Index

 

 

 

 

 

 

 

 

 

 

 

 

3.1**

Amended and Restated Articles of Incorporation, dated May 6, 2011, incorporated by reference to Exhibit 3.1 to Susquehanna’s Quarterly Report on Form 10-Q, filed August 8, 2011.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3.2**

Amended and Restated By-Laws, dated February 24, 2011, incorporated by reference to Exhibit 3.1 of Susquehanna’s Current Report on Form 8-K, filed March 2, 2011.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.1**

Indenture, dated as of August 13, 2012, between Susquehanna Bancshares, Inc. and The New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.1 in Susquehanna's Current Report on Form 8-K, filed August 8, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.2**

First Supplemental Indenture, dated as of August 13, 2012, between Susquehanna Bancshares, Inc. and The New York Mellon Trust Company, N.A., as trustee, incorporated by reference to Exhibit 4.2 to Susquehanna's Current Report on Form 8-K, filed August 8, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

4.3**

Form of Note (included in Exhibit 4.2 above), incorporated by reference to Exhibit 4.2 to Susquehanna's Current Report on Form 8-K, filed August 8, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10.1**

Supplemental Executive Retirement Plan (Amended and Restated, effective as of January 1, 2012), incorporated by reference to Exhibit 10.1 to Susquehanna's Current Report on Form 8-K, filed August 23, 2012.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

31.1**

Rule 13a-14(a)/15d-14(a) Certification by Chief Executive Officer.

 

 

 

 

 

 

 

 

 

 

 

 

31.2**

Rule 13a-14(a)/15d-14(a) Certification by Chief Financial Officer.

 

 

 

 

 

 

 

 

 

 

 

 

32**

Section 1350 Certifications.

 

 

 

 

 

 

 

 

 

 

 

 

101.INS

XBRL Instance Document

 

 

 

 

 

 

 

 

 

 

 

 

101.SCH

XBRL Taxonomy Extension Schema Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.CAL

XBRL Taxonomy Extension Calculation Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.LAB

XBRL Taxonomy Extension Label Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.PRE

XBRL Taxonomy Extension Presentation Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

101.DEF

XBRL Taxonomy Extension Definitions Linkbase Document.

 

 

 

 

 

 

 

 

 

 

 

 

**

Previously filed.