<SEC-DOCUMENT>0000943374-20-000509.txt : 20201020
<SEC-HEADER>0000943374-20-000509.hdr.sgml : 20201020
<ACCEPTANCE-DATETIME>20201020163021
ACCESSION NUMBER:		0000943374-20-000509
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20201015
ITEM INFORMATION:		Unregistered Sales of Equity Securities
FILED AS OF DATE:		20201020
DATE AS OF CHANGE:		20201020

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:		201248580

	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
<TEXT>
<html>
  <head>
    <title></title>
    <!-- Licensed to: Luse Gorman
         Document created using EDGARfilings PROfile 7.0.1.0
         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</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>October 15, 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>
    <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="zc919e4d8e53e4b17b64e2f15577193d1">

        <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; 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; text-align: center;">&#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="z5471c3193351441c9a3f70e38602631f">

        <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; text-align: center;">&#160;</td>
          <td style="width: 3.73%; vertical-align: top; text-align: center;">&#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; text-align: center;">&#160;</td>
          <td style="width: 3.73%; vertical-align: top; text-align: center;">&#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>(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>
    <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="zfcdfe65747a042e186a09e8e3d030c2f">

        <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="zee7c9c9d431945369fc367485c4dd4d4">

        <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: 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>
    <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>
    <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="z193d76ba84a548a69b8b0ef79abd84c4">

        <tr>
          <td style="width: 74.8pt; vertical-align: top; align: right; font-size: 12pt; font-weight: bold;">Item 3.02</td>
          <td style="width: auto; vertical-align: top; text-align: justify;">
            <div style="font-size: 12pt;"><font style="font-weight: bold;"><u>Unregistered Sales of Equity Securities</u></font>.</div>
          </td>
        </tr>

    </table>
    <div><br>
    </div>
    <div style="background-color: #FFFFFF;">
      <div style="text-indent: 36pt; font-size: 12pt;">On October 15, 2020, Carver Bancorp, Inc. (the &#8220;Company&#8221;), parent company of Carver Federal Savings Bank, entered into an Investment Agreement with Banc of America Strategic Investments Corporation, a
        Delaware corporation, under which it issued and sold 147,227 shares of its common stock, par value $0.01, at a price of $6.62 per share.&#160; The shares were issued on October 15, 2020, in a private placement exempt from registration under Section 4(2)
        of the Securities Act of 1933, as amended, and Regulation D of the rules and regulations promulgated thereunder.&#160; The offering resulted in gross proceeds of $947,643. There were no underwriting discounts or commissions.</div>
      <div style="text-indent: 36pt; font-size: 12pt;"> <br>
      </div>
      <div style="text-indent: 36pt; font-size: 12pt;"> <br>
      </div>
      <div style="text-indent: 36pt; font-size: 12pt;"> <br>
      </div>
      <div><br>
      </div>
    </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;">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="z1b98042871134b52851aa935746ddf6b">

        <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: October 20, 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; font-size: 12pt;"><u>/s/ Michael T. Pugh</u></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><br>
    </div>
  </div>
</body>
</html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
