<SEC-DOCUMENT>0000943374-19-000408.txt : 20190829
<SEC-HEADER>0000943374-19-000408.hdr.sgml : 20190829
<ACCEPTANCE-DATETIME>20190829163035
ACCESSION NUMBER:		0000943374-19-000408
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190828
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20190829
DATE AS OF CHANGE:		20190829

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CARVER BANCORP INC
		CENTRAL INDEX KEY:			0001016178
		STANDARD INDUSTRIAL CLASSIFICATION:	SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
		IRS NUMBER:				133904174
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			0331

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13007
		FILM NUMBER:		191066730

	BUSINESS ADDRESS:	
		STREET 1:		75 W 125TH ST
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10027-4512
		BUSINESS PHONE:		2128764747

	MAIL ADDRESS:	
		STREET 1:		75 W 125TH ST
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10027-4512
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>form8k.htm
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    <div style="text-align: center; font-family: 'Times New Roman', Times, serif; font-size: 14pt; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center;"><font style="font-size: 14pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">WASHINGTON, D.C. 20549</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">__________</font></div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160;</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">FORM 8-K</font></div>
    <div><br>
    </div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">CURRENT REPORT</font></div>
    <div><br>
    </div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">PURSUANT TO SECTION 13 OR 15(d) OF THE</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">SECURITIES EXCHANGE ACT OF 1934</font></div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160;</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Date of Report (Date of earliest event reported):&#160; <font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><u>August 28,
            2019</u></font></font></div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160;</font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><u>CARVER BANCORP, INC.</u></font></font></div>
    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">(Exact Name of Registrant as Specified in its Charter)</font></div>
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          <td style="width: 30.77%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Delaware</font></font></div>
          </td>
          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
          <td style="width: 30.77%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">001-13007</font></font></div>
          </td>
          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
          <td style="width: 30.77%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">13-3904174</font></font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 30.77%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(State or Other Jurisdiction</font></div>
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">of Incorporation)</font></div>
          </td>
          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
          <td style="width: 30.77%; vertical-align: top;">
            <div style="text-align: center; text-indent: -27pt; margin-left: 27pt;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Commission File No.)</font></div>
          </td>
          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
          <td style="width: 30.77%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">(I.R.S. Employer</font></div>
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Identification No.)</font></div>
          </td>
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          <td style="width: 62.89%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">75 West 125th Street, New York, NY</font></font></div>
          </td>
          <td style="width: 3.73%; vertical-align: top;">&#160;</td>
          <td style="width: 3.73%; vertical-align: top;">&#160;</td>
          <td style="width: 29.66%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">10027-4512</font></font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 62.89%; vertical-align: bottom;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">(Address of Principal Executive Offices)</font></div>
          </td>
          <td style="width: 3.73%; vertical-align: top;">&#160;</td>
          <td style="width: 3.73%; vertical-align: top;">&#160;</td>
          <td style="width: 29.66%; vertical-align: bottom;">
            <div style="text-align: center; text-indent: -9pt; margin-left: 9pt;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">(Zip Code)</font></div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Registrant&#8217;s telephone number, including area code: <font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"><u>(212)
            360-8820</u></font></font></div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160;</font></div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">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 (<font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-style: italic;">see</font> General Instruction A.2. below):</font></div>
    <div><br>
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          <td style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">[&#160; ]</font></div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">&#160;</td>
          <td style="width: 91.51%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">[&#160; ]</font></div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">&#160;</td>
          <td style="width: 91.51%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">[&#160; ]</font></div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">&#160;</td>
          <td style="width: 91.51%; vertical-align: top;">&#160;</td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">[&#160; ]</font></div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">&#160;</td>
          <td style="width: 91.51%; vertical-align: top;">&#160;</td>
        </tr>

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          <td colspan="3" style="width: 100%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Securities registered pursuant to Section 12(b) of the Act:</font></div>
            <div>&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 31.2%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Title of each class</font></font></div>
          </td>
          <td style="width: 23.5%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Trading symbol(s)</font></font></div>
          </td>
          <td style="width: 45.3%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif; font-weight: bold;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Name of each exchange
                  on which registered</font></font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 31.2%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">Common stock, par value $0.01 per share</font></div>
          </td>
          <td style="width: 23.5%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">CARV</font></div>
          </td>
          <td style="width: 45.3%; vertical-align: top;">
            <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">The NASDAQ Stock Market LLC</font></div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of
        this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</font></div>
    <div style="text-align: left; text-indent: 36pt; margin-left: 252pt;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Emerging growth company [&#160; ]</font></div>
    <div><br>
    </div>
    <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">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. [&#160; ]</font></div>
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              <td style="width: 72pt; vertical-align: top; align: right;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Item 5.02</font></td>
              <td style="width: auto; vertical-align: top; text-align: left;">
                <div><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">Departure of Directors of Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain
                    Officers</font></div>
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    </div>
    <div><br>
    </div>
    <div style="text-align: justify;"><font style="width: 9pt; font-size: 1px; display: inline-block;" class="HorizontalTab">&#160;</font><font style="width: 9pt; font-size: 1px; display: inline-block;" class="HorizontalTab">&#160;</font><font style="width: 9pt;
        font-size: 1px; display: inline-block;" class="HorizontalTab">&#160;</font><font style="width: 9pt; font-size: 1px; display: inline-block;" class="HorizontalTab">&#160;</font><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">On
        August 28, 2019, the Boards of Directors of Carver Bancorp, Inc. (the &#8220;Company&#8221;) and Carver Federal Savings Bank (the &#8220;Bank&#8221;), following receipt of supervisory non-objection by the Office of the Comptroller of the Currency, appointed Jillian E.
        Joseph to the Boards of Directors of the Company and the Bank.</font></div>
    <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;"> <br>
      </font></div>
    <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160;Jillian E. Joseph is Managing Director and Associate General Counsel at Nuveen, a TIAA Company, where she supports
        domestic real estate business across the transaction spectrum, including mortgage financings, property acquisitions and dispositions, joint ventures and asset management. Prior to Nuveen, Ms. Joseph was Executive Counsel for GE Capital&#8217;s Real
        Estate Business, responsible for North East, South East &amp; Mid-Atlantic debt origination, asset management, debt fund, and real estate owned programs.</font></div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160;The Company&#8217;s Board of Directors has appointed Ms. Joseph to serve until the 2020 Annual Meeting of Stockholders. Ms.
        Joseph has been appointed to the Finance and Audit Committee and the Institutional Strategy Committee.</font></div>
    <div>&#160;<br>
    </div>
    <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">&#160; Ms. Joseph is not a party to any transaction with the Company or the Bank that would require disclosure under Item
        404(a) of Regulation S-K.</font></div>
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    <div style="text-align: center;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">SIGNATURES</font></div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">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.</font></div>
    <div><br>
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    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%;" id="za3769a0bac54432e9f69e28338e88c2b">

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          <td style="width: 41.05%; vertical-align: top;">&#160;</td>
          <td style="width: 6.02%; vertical-align: top;">&#160;</td>
          <td style="width: 52.93%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif; font-weight: bold;">CARVER BANCORP, INC.</font></div>
            <div>&#160;</div>
            <div>&#160;</div>
          </td>
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          <td style="width: 41.05%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">DATE: August 29, 2019</font></div>
          </td>
          <td style="width: 6.02%; vertical-align: top;">
            <div style="text-align: right;"><font style="font-size: 10pt; font-family: &quot;Times New Roman&quot;,Times,serif;">By:&#160;&#160; <br>
              </font></div>
          </td>
          <td style="width: 52.93%; vertical-align: top;">
            <div style="text-align: justify;"><u><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">/s/ Michael T. Pugh</font></u></div>
          </td>
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          <td style="width: 41.05%; vertical-align: top;">&#160;</td>
          <td style="width: 6.02%; vertical-align: top;">&#160;</td>
          <td style="width: 52.93%; vertical-align: top;">
            <div style="text-align: justify;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">Michael T. Pugh</font></div>
          </td>
        </tr>
        <tr>
          <td style="width: 41.05%; vertical-align: top;">&#160;</td>
          <td style="width: 6.02%; vertical-align: top;">&#160;</td>
          <td style="width: 52.93%; vertical-align: top;">
            <div style="text-align: left;"><font style="font-size: 10pt; font-family: 'Times New Roman', Times, serif;">President and Chief Executive Officer</font></div>
          </td>
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