<SEC-DOCUMENT>0000943374-19-000468.txt : 20191022
<SEC-HEADER>0000943374-19-000468.hdr.sgml : 20191022
<ACCEPTANCE-DATETIME>20191022160910
ACCESSION NUMBER:		0000943374-19-000468
CONFORMED SUBMISSION TYPE:	8-K/A
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:		20191022
DATE AS OF CHANGE:		20191022

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/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-13007
		FILM NUMBER:		191161835

	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/A
<SEQUENCE>1
<FILENAME>form8k-a_082819.htm
<DESCRIPTION>CARVER BANCORP, INC. FORM 8-K/A (AMENDMENT NO. 1) AUGUST 28, 2019
<TEXT>
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    <div style="text-align: center; font-size: 14pt; font-weight: bold;">UNITED STATES</div>
    <div style="text-align: center; font-size: 14pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
    <div style="text-align: center; font-size: 12pt;">WASHINGTON, D.C. 20549</div>
    <div style="text-align: center;">__________</div>
    <div>&#160;</div>
    <div style="text-align: center; font-size: 12pt; font-weight: bold;">FORM 8-K/A</div>
    <div style="text-align: center; font-size: 12pt; font-weight: bold;">(Amendment No. 1)</div>
    <div><br>
    </div>
    <div style="text-align: center; font-size: 12pt; font-weight: bold;">CURRENT REPORT</div>
    <div><br>
    </div>
    <div style="text-align: center; font-size: 12pt;">PURSUANT TO SECTION 13 OR 15(d) OF THE</div>
    <div style="text-align: center; font-size: 12pt;">SECURITIES EXCHANGE ACT OF 1934</div>
    <div style="font-size: 12pt;">&#160;</div>
    <div style="text-align: center; font-size: 12pt;">Date of Report (Date of earliest event reported):&#160; <u>August 28, 2019</u></div>
    <div style="font-size: 12pt;">&#160;</div>
    <div style="text-align: center; font-size: 12pt;"><u>CARVER BANCORP, INC.</u></div>
    <div style="text-align: center;">(Exact Name of Registrant as Specified in its Charter)</div>
    <div><br>
    </div>
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          <td style="width: 30.77%; vertical-align: bottom;">
            <div style="text-align: center; font-size: 12pt;"><u>Delaware</u></div>
          </td>
          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
          <td style="width: 30.77%; vertical-align: bottom;">
            <div style="text-align: center; font-size: 12pt;"><u>001-13007</u></div>
          </td>
          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
          <td style="width: 30.77%; vertical-align: bottom;">
            <div style="text-align: center; font-size: 12pt;"><u>13-3904174</u></div>
          </td>
        </tr>
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          <td style="width: 30.77%; vertical-align: top;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">(State or Other Jurisdiction</div>
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">of Incorporation)</div>
          </td>
          <td style="width: 3.85%; vertical-align: top; text-align: center;">&#160;</td>
          <td style="width: 30.77%; vertical-align: top;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">(Commission File No.)</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-size: 12pt;">(I.R.S. Employer</div>
            <div style="text-align: center; font-size: 12pt;">Identification No.)</div>
          </td>
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      </u></div>
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          <td style="width: 62.89%; vertical-align: bottom;">
            <div style="font-size: 12pt;"><u>75 West 125th Street, New York, NY</u></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="font-size: 12pt;"><u>10027-4512</u></div>
          </td>
        </tr>
        <tr>
          <td style="width: 62.89%; vertical-align: bottom;">
            <div style="font-size: 12pt;">(Address of Principal Executive Offices)</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="font-size: 12pt;">(Zip Code)</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="font-size: 12pt;">Registrant&#8217;s telephone number, including area code: <u>(718) 230-2900</u></div>
    <div>&#160;</div>
    <div style="font-size: 12pt;">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-style: italic;">see</font> General Instruction A.2. below):</div>
    <div><br>
    </div>
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            <div style="text-align: center; font-size: 12pt;">[&#160; ]</div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify; font-size: 12pt;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</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 style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center; font-size: 12pt;">[&#160; ]</div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify; font-size: 12pt;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</div>
          </td>
        </tr>
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          <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 style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center; font-size: 12pt;">[&#160; ]</div>
          </td>
          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify; font-size: 12pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</div>
          </td>
        </tr>
        <tr>
          <td style="width: 8.49%; vertical-align: top;">&#160;</td>
          <td style="width: 91.51%; vertical-align: top;">&#160;</td>
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          <td style="width: 8.49%; vertical-align: top;">
            <div style="text-align: center; font-size: 12pt;">[&#160; ]</div>
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          <td style="width: 91.51%; vertical-align: top;">
            <div style="text-align: justify; font-size: 12pt;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</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 style="width: 100%; vertical-align: top;" colspan="3">
            <div style="text-align: justify;">Securities registered pursuant to Section 12(b) of the Act:</div>
            <div>&#160;</div>
          </td>
        </tr>
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          <td style="width: 31.2%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: center; font-weight: bold;">Title of each class</div>
          </td>
          <td style="width: 23.5%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: center; font-weight: bold;">Trading symbol(s)</div>
          </td>
          <td style="width: 45.3%; vertical-align: top; border-bottom: 2px solid black;">
            <div style="text-align: center; font-weight: bold;">Name of each exchange on which registered</div>
          </td>
        </tr>
        <tr>
          <td style="width: 31.2%; vertical-align: top;">
            <div style="text-align: center;">Common stock, par value $0.01 per share</div>
          </td>
          <td style="width: 23.5%; vertical-align: top;">
            <div style="text-align: center;">CARV</div>
          </td>
          <td style="width: 45.3%; vertical-align: top;">
            <div style="text-align: center;">The NASDAQ Stock Market LLC</div>
          </td>
        </tr>

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    <div><br>
    </div>
    <div style="font-size: 12pt;">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).</div>
    <div><br>
    </div>
    <div style="text-indent: -252pt; margin-left: 252pt; font-size: 12pt;">Emerging growth company [&#160; ]</div>
    <div><br>
    </div>
    <div style="font-family: 'Times New Roman',Times,serif; font-size: 12pt;">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; ]</div>
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    <div style="text-align: center; font-size: 12pt; font-weight: bold;">EXPLANATORY NOTE</div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">On August 28, 2019, Carver Bancorp, Inc. (the &#8220;Company&#8221;) filed a Current Report on Form 8-K (the &#8220;Original Form 8-K&#8221;) reporting that on
      August 28, 2019, following receipt of supervisory non-objection by the Office of the Comptroller of the Currency, Jillian E. Joseph was appointed to the Boards of Directors of the Company and Carver Federal Savings Bank (the &#8220;Bank&#8221;). This Form 8-K/A
      amends the Original Form 8-K to clarify that while Ms. Joseph is a voting Board member of the Bank, she will remain an advisory Board member of the Company in a non-voting capacity until the Company receives a non-objection relating to her
      appointment from the Board of Governors of the Federal Reserve System.</div>
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              <td style="width: 72pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 5.02</td>
              <td style="width: auto; vertical-align: top;">
                <div style="font-size: 12pt; font-weight: bold;">Departure of Directors of Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers</div>
              </td>
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    <div><br>
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    <div style="text-align: justify;"><font style="font-size: 12pt;">(d)</font><font id="TRGRRTFtoHTMLTab" style="display: inline-block; text-indent: 0px; font-size: 1px; width: 36pt">&#160;</font><font style="font-size: 12pt;">On August 28, 2019, the Boards of Directors of the Company and the Bank, 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. Ms. Joseph will remain an advisory Board member of the Company in a non-voting capacity until the Company receives a non-objection relating to her appointment from
        the Board of Governors of the Federal Reserve System.</font></div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">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.</div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">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.</div>
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    <div style="text-align: center; font-size: 12pt; font-weight: bold;">SIGNATURES</div>
    <div><br>
    </div>
    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">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.</div>
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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-size: 12pt; font-weight: bold;">CARVER BANCORP, INC.</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-size: 12pt;">DATE: October 22, 2019</div>
          </td>
          <td style="width: 6.02%; vertical-align: top;">
            <div style="text-align: right; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">By:&#160;&#160; <br>
            </div>
          </td>
          <td style="width: 52.93%; vertical-align: top; font-size: 12pt;"><u>&#160;/s/ Michael T. Pugh<br>
            </u></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-size: 12pt;">Michael T. Pugh</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="font-size: 12pt;">President and Chief Executive Officer</div>
          </td>
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