10-K/A 1 d681172d10ka.htm AMENDMENT NO.1 TO FORM 10-K Amendment No.1 to Form 10-K

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

 

 

Form 10-K/A

Amendment No. 1

 

 

 

(Mark One)

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

 

For the fiscal year ended December 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 0-133872

 

 

 

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

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

 

Name of Each Exchange on Which Registered

common stock, par value $2.00 per share   The Nasdaq Stock Market, LLC

 

Securities registered pursuant to Section 12(g) of the Act: None

 

 

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    Yes  x    No  ¨

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act.    Yes  ¨    No  x

 

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 if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.  x

 

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 “accelerated filer,” “large 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   ¨    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

 

The aggregate market value of voting stock held by non-affiliates of the registrant was approximately $2,371,163,032 as of June 28, 2013, based upon the closing price quoted on the Nasdaq Global Select Market for such date. Shares of common stock held by each executive officer and director have been excluded because such persons may under certain circumstances be deemed to be affiliates. This determination of executive officer or affiliate status is not necessarily a conclusive determination for other purposes. The number of shares issued and outstanding of the registrant’s common stock as of February 17, 2014, was 187,457,535.

 

DOCUMENTS INCORPORATED BY REFERENCE

 

Portions of the registrant’s definitive Proxy Statement to be delivered to shareholders in connection with the Annual Meeting of Shareholders to be held May 2, 2014 are incorporated by reference into Part III of this Annual Report.

 

 

 

 


Explanatory Note

 

On March 3, 2014, Susquehanna Bancshares, Inc. (“Susquehanna”) filed its Annual Report on Form 10-K (“Form 10-K”) for the year ended December 31, 2013. Due to a filing error, certain Notes to the Consolidated Financial Statements were omitted from the data contained in the XBRL Interactive Data exhibit to the Form 10-K although all such Notes to the Consolidated Financial Statements were included in the body of the Form 10-K. The sole purpose of this amendment is to file a corrected version of the XBRL Interactive Data contained in Exhibit 101.


SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) 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.
By:   /S/    WILLIAM J. REUTER        
 

William J. Reuter, Chairman of the Board

and Chief Executive Officer (Principal

Executive Officer)

By:   /s/    MICHAEL W. HARRINGTON        
 

Michael W. Harrington, Executive Vice

President, Chief Financial Officer and

Treasurer (Principal Financial and

Accounting Officer)

 

Dated: March 3, 2014


Exhibit Index

 

Exhibit Numbers Description and Method of Filing

 

(b) Exhibits.

 

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 Definition Linkbase Document