<SEC-DOCUMENT>0000943374-20-000288.txt : 20200610
<SEC-HEADER>0000943374-20-000288.hdr.sgml : 20200610
<ACCEPTANCE-DATETIME>20200610170536
ACCESSION NUMBER:		0000943374-20-000288
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:		20200610
DATE AS OF CHANGE:		20200610

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:		20955399

	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.htm
<DESCRIPTION>FORM 8-K/A (AMENDMENT NO. 2)
<TEXT>
<html>
  <head>
    <title></title>
    <!-- Licensed to: Luse Gorman
         Document created using EDGARfilings PROfile 6.5.1.0
         Copyright 1995 - 2020 Broadridge -->
  </head>
<body bgcolor="#ffffff" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; text-align: left; color: #000000;">
  <div>
    <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. 2)</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>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" id="z9611f25c16c742dd9b6edf9e4db7fc6a">

        <tr>
          <td style="width: 30.77%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: center; font-size: 12pt;">Delaware</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-size: 12pt;">001-13007</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-size: 12pt;">13-3904174</div>
          </td>
        </tr>
        <tr>
          <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;">&#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>
        </tr>

    </table>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" id="z778ea560a95e410f91fb792a554cf954">

        <tr>
          <td style="width: 62.89%; vertical-align: bottom; border-bottom: 2px solid black;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">75 West 125th Street, New York, NY</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-family: 'Times New Roman',Times,serif; font-size: 12pt;">10027-4512</div>
          </td>
        </tr>
        <tr>
          <td style="width: 62.89%; vertical-align: bottom;">
            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; 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="text-align: center; font-family: 'Times New Roman',Times,serif; 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>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" id="zce34bcfb04534820b8ca210f2e1198d7">

        <tr>
          <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;">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>
        <tr>
          <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>
        <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-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>
        </tr>
        <tr>
          <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 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>

    </table>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" id="zc23a0ab70dea4a07baf74fad9473eac1">

        <tr>
          <td colspan="3" style="width: 100%; vertical-align: top;">
            <div style="text-align: justify;">Securities registered pursuant to Section 12(b) of the Act:</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-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>

    </table>
    <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-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>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <div><br>
    </div>
    <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;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 its wholly-owned subsidiary, Carver Federal Savings Bank (the &#8220;Bank&#8221;). On October 22, 2019, the Company
      filed Amendment No.1 to the Form 8-K to clarify that while Ms. Joseph was a voting Board member of the Bank, she remained an advisory Board member of the Company in a non-voting capacity until the Company received a non-objection relating to her
      appointment from the Board of Governors of the Federal Reserve System (&#8220;FRB&#8221;).&#160; The Company is filing this Amendment No. 2 to the Form 8-K to disclose that it has received FRB non-objection to the appointment of Ms. Joseph as a director to the
      Company&#8217;s Board of Directors to serve until the 2021 Annual Meeting of Stockholders.</div>
    <div><br>
    </div>
    <div>
      <div>
        <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" class="DSPFListTable" id="za2f448c3a962468eb7ba842c94f82c08">

            <tr>
              <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>
            </tr>

        </table>
      </div>
    </div>
    <div><br>
    </div>
    <div style="background-color: #FFFFFF;">
      <div style="text-align: justify; text-indent: 36pt;"><font style="font-size: 12pt;">(d)</font><font style="display: inline-block; text-indent: 0px; font-size: 1px; width: 36pt" id="TRGRRTFtoHTMLTab">&#160;</font><font style="font-size: 12pt;">The Board of
          Directors of the Company has received FRB non-objection relating to Jillian A. Joseph&#8217;s appointment to the Company&#8217;s Board of Directors.<br>
        </font><br>
      </div>
      <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">The Company&#8217;s Board of Directors has appointed Ms. Joseph to serve until the 2021 Annual Meeting of Stockholders. Ms. Joseph has been appointed to the Finance and Audit Committee
        and the Institutional Strategy Committee.</div>
    </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 Carver Bank that would require disclosure under Item 404(a) of Regulation S-K.</div>
    <div><br>
    </div>
    <div style="clear: both; margin-top: 10pt; margin-bottom: 10pt;" id="DSPFPageBreakArea">
      <div style="page-break-after:always;" id="DSPFPageBreak">
        <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
    </div>
    <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>
    <div><br>
    </div>
    <div><br>
    </div>
    <table cellspacing="0" cellpadding="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; text-align: left; color: #000000;" id="zff917dee024649f1849b29c1f5f99e72">

        <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: justify; font-size: 12pt; font-weight: bold;">CARVER BANCORP, INC.</div>
            <div>&#160;</div>
            <div>&#160;</div>
          </td>
        </tr>
        <tr>
          <td style="width: 41.05%; vertical-align: top;">
            <div style="text-align: justify; font-size: 12pt;">DATE: June 10, 2020</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;">
            <div style="text-align: justify;"><u><font style="font-size: 12pt;">/s/ </font><font style="font-size: 12pt;">Michael T. Pugh</font></u><font style="display: inline-block; text-indent: 0px; font-size: 1px; width: 206.85pt" id="TRGRRTFtoHTMLTab">&#160;</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: justify; font-size: 12pt;">Michael T. Pugh</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="font-size: 12pt;">President and Chief Executive Officer</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
    <div><br>
    </div>
  </div>
</body>
</html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
