8-K 1 a17-19003_18k.htm 8-K

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): August 4, 2017 (August 4, 2017)

First Capital, Inc.

(Exact Name of Registrant as Specified in its Charter)

Indiana |  | 0-25023 |  | 35-2056949
(State or Other Jurisdiction of Incorporation) |  | (Commission File Number) |  | (IRS Employer Identification No.)

220 Federal Drive N.W., Corydon, Indiana 47112

(Address of Principal Executive Offices) (Zip Code)

(812) 738-2198

(Registrant’s Telephone Number, Including Area Code)

Not Applicable
(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:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company o

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o

Item 2.02. Results of Operations and Financial Condition.

On August 4, 2017, First Capital, Inc. (the “Company”) provided a slide presentation to Raymond James & Associates, Inc. (“Raymond James”) for the purposes discussing the Company and its financial performance with certain customers of Raymond James and potential investors in the Company. This slide presentation contained certain financial results of the Company’s quarter ended June 30, 2017. This slide presentation is attached as exhibit 99.1.

Item 7.01. Regulation FD Disclosure.

As described in Item 2.02 above, the Company provided a slide presentation to Raymond James that contained certain financial results of the Company’s quarter ended June 30, 2017. This slide presentation is attached as exhibit 99.1.

The information in this Form 8-K and the attached exhibit shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, except as shall be expressly set forth by specific reference in any such filing.

Item 9.01. Financial Statements and Exhibits.

99.1 First Capital, Inc., Raymond James Investor Presentation, August 4, 2017

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SIGNATURE

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 hereunto duly authorized.

| FIRST CAPITAL, INC.
Date: August 4, 2017 | By: | /s/ M. Chris Frederick
|  | Name: M. Chris Frederick
|  | Title: Executive Vice President and Chief Financial Officer

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Exhibit Index

Exhibit No. |  | Description
99.1 |  | First Capital, Inc., Raymond James Investor Presentation, August 4, 2017

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