<SEC-DOCUMENT>0000943374-20-000290.txt : 20200612
<SEC-HEADER>0000943374-20-000290.hdr.sgml : 20200612
<ACCEPTANCE-DATETIME>20200612115431
ACCESSION NUMBER:		0000943374-20-000290
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200528
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20200612
DATE AS OF CHANGE:		20200612

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:		20959480

	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>
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<TYPE>8-K
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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</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>May 28, 2020</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>
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            <div style="text-align: center; font-size: 12pt;">Delaware</div>
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          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
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            <div style="text-align: center; font-size: 12pt;">001-13007</div>
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          <td style="width: 3.85%; vertical-align: top;">&#160;</td>
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            <div style="text-align: center; font-size: 12pt;">13-3904174</div>
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            <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>
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          <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>
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          <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>
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            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">75 West 125th Street, New York, NY</div>
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          <td style="width: 3.73%; vertical-align: top; text-align: center;">&#160;</td>
          <td style="width: 3.73%; vertical-align: top; text-align: center;">&#160;</td>
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            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">10027-4512</div>
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          <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>
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          <td style="width: 3.73%; vertical-align: top; text-align: center;">&#160;</td>
          <td style="width: 3.73%; vertical-align: top; text-align: center;">&#160;</td>
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            <div style="text-align: center; font-family: 'Times New Roman',Times,serif; font-size: 12pt;">(Zip Code)</div>
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    <div style="font-size: 12pt;">Registrant&#8217;s telephone number, including area code: <u>(212) 360-8820</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>
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            <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;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</div>
          </td>
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          <td style="width: 8.49%; vertical-align: top;">&#160;</td>
          <td style="width: 91.51%; vertical-align: top;">&#160;</td>
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            <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;">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>
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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 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</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>
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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 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>
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          <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>
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          <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>
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          <td style="width: 31.2%; vertical-align: top;">
            <div style="text-align: center;">Common stock, par value $0.01 per share</div>
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          <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>
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    <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>
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    <div style="text-indent: 36pt; 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>
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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>
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    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">On May 28, 2020, the Board of Directors of Carver Bancorp, Inc. (the &#8220;Company&#8221;), following receipt of supervisory non-objection by the Board of Governors of the Federal Reserve
      System, appointed Steven C. Bussey to the Board of Directors of the Company. Mr. Bussey was also appointed to the Board of Directors of Carver Federal Savings Bank following receipt of supervisory non-objection by the Office of the Comptroller of the
      Currency.</div>
    <div><br>
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    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">Steven C. Bussey is a Managing Director with Alvarez &amp; Marsal in the Healthcare Industry Group in New York. He has more than 25 years of experience in finance, sales, and
      operations across the financial services and healthcare sectors. In this role, Mr. Bussey blends expertise in corporate finance, restructuring and workouts, raising capital and interim management and has partnered with clients in industries ranging
      from healthcare and technology to alternative investments, financial services and logistics. Prior to his role with Alvarez &amp; Marsal, Mr. Bussey served as CFO and COO of Apyrous Capital Management, a fundamental commodities-driven hedge fund.
      There, he was responsible for the day-to-day operations, thesis development, funds management, liquidity management, risk management and investor relations. He has also served as Chief Executive Officer of Harlem United, a federally qualified
      healthcare center, Article 28 adult day health care center, and provider of housing, healthcare and prevention services for homeless people living with HIV/AIDS. In addition, he has held positions as director, global markets and financing services
      and head of fixed income prime brokerage sales at Merrill Lynch. He was also a director for Credit Suisse Prime Services. Mr. Bussey has served on the Boards of Harlem United, AmidaCare, the Foundation for Research on Sexually Transmitted Diseases,
      Upper Room AIDS Ministry, and the CHCANYS Public Policy Committee. He was also a member of the NYS Medicaid Redesign Team-Affordable Housing Work Group. He earned his bachelor's degree in economics from the University of Pennsylvania and his master's
      degree in business administration in finance and entrepreneurship from the Simon School of Business at the University of Rochester.</div>
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    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">The Company&#8217;s Board of Directors has appointed Mr. Bussey to serve until the 2021 Annual Meeting of Stockholders. Mr. Bussey has been appointed to the Finance and Audit Committee.</div>
    <div style="text-align: justify; font-size: 12pt;">&#160;</div>
    <div style="text-align: justify; text-indent: 36pt; font-size: 12pt;">Mr. Bussey 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: June 12, 2020</div>
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          <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; <br>
            </div>
          </td>
          <td style="width: 52.93%; vertical-align: top;">
            <div style="text-align: justify;"><u><font style="font-size: 12pt;">/s/ Michael T. Pugh</font><font style="display: inline-block; text-indent: 0px; font-size: 1px; width: 206.85pt" id="TRGRRTFtoHTMLTab">&#160;</font></u></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;">Michael T. Pugh</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>
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            <div style="font-size: 12pt;">President and Chief Executive Officer</div>
          </td>
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