Attached files
file | filename |
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EX-31.2 - EX-31.2 - PRINCETON NATIONAL BANCORP INC | k49952exv31w2.htm |
EX-31.1 - EX-31.1 - PRINCETON NATIONAL BANCORP INC | k49952exv31w1.htm |
Table of Contents
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Amendment No. 1)
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended December 31, 2009
Commission File Number 0-20050
PRINCETON NATIONAL BANCORP, INC.
(Exact name of registrant as specified in its charter)
Delaware | 36-32110283 | |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
|
606 South Main Street Princeton, Illinois |
61356-2080 | |
(Address of principal executive offices) | (Zip Code) |
Registrants telephone number, including area code: (815) 875-4444
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Name of each exchange on which registered |
|
Common Stock Preferred Share Purchase Rights |
The Nasdaq Stock Market |
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known season issuer, as defined in Rule 405 of the Securities Act. Yes o No þ
Indicate by check mark if the registrant is not required to file reports pursuant to Sections 13 or 15(d) of the Act. Yes o No þ
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of
the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes þ No o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Website, if
any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T
(Section 232.405 of this chapter) during the preceding twelve months (or for such shorter period that the registrant
was required to submit and post such files). Yes o No o
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained
herein, and will not be contained, to the best of registrants knowledge, in definitive proxy or information statements
incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or
a smaller reporting company. See the definitions of large accelerated filer, accelerated filer and smaller reporting
company in Rule 12b-2 of the Exchange Act. (Check one):
Large accelerated filer o | Accelerated filer o | Non-accelerated filer þ (do not check if a smaller reporting company) |
Smaller reporting company o |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No þ
At March 22, 2010, 3,306,369 shares of Common Stock, $5.00 Par Value, were outstanding, and the aggregate market
value of the common stock (based upon the closing representative bid price of the common stock on June 30, 2009 of $14.60,
the last business day of the Registrants most recently completed second quarter, as reported by NASDAQ) held by nonaffiliates
was approximately $48,272,987.
Determination of stock ownership by nonaffiliates was made solely for the purpose of responding to this requirement
and the registrant is not bound by this determination for any other purpose.
Portions of the following
documents are incorporated by reference:
2010 Notice and
Proxy Statement for the Annual Meeting of Stockholders April 27, 2010 (the Proxy Statement)
Part III and portions of the Corporations 2009 Annual Report (the Annual Report) Part II
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Explanatory Note
Princeton National Bancorp, Inc., a Delaware corporation (Princeton), is filing this
Amendment No. 1 to its Form 10-K for the fiscal year ended December 31, 2009, which was originally
filed with the Securities and Exchange Commission on March 29, 2010, in order to include the dates
corresponding to the directors signatures which appeared on the signature page to the original
Form 10-K. These dates were inadvertently omitted in the original Form 10-K.
Except as described above, Amendment No. 1 does not amend any other item of the Form 10-K and
does not modify or update in any way the disclosures contained in the original Form 10-K.
New certifications of our principal executive officer and principal financial officer are
included as exhibits to this Amendment No. 1 to Form 10-K.
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934,
the Registration has duly caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized.
PRINCETON NATIONAL BANCORP, INC. |
||||
By. | /s/ Thomas D. Ogaard | |||
Thomas D. Ogaard, President and Chief Executive Officer |
||||
Date: March 25, 2010 |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been
signed below by the following persons on behalf of the Registrant and in the capacities and on the
dates indicated.
Signature | Title | Date | ||
/s/ Thomas D. Ogaard
|
President & Chief Executive Officer & Director | March 25, 2010 | ||
(Principal Executive Officer) | ||||
/s/ Todd D. Fanning
|
Executive Vice-President & Chief Financial Officer & Director | March 25, 2010 | ||
(Principal Accounting and Financial Officer) | ||||
/s/ Craig O. Wesner
|
Chairman of the Board | |||
/s/ Daryl Becker
|
Director | March 25, 2010 | ||
s/ Gretta E. Bieber
|
Director | |||
/s/ Gary C. Bruce
|
Director | March 25, 2010 | ||
/s/ Sharon L. Covert
|
Director | March 25, 2010 | ||
/s/ John R. Ernat
|
Director | |||
s/ Donald E. Grubb
|
Director | March 25, 2010 | ||
/s/ Mark Janko
|
Director | |||
/s/ Willard Lee
|
Director | |||
/s/ Ervin I. Pietsch
|
Director | |||
/s/ Stephen W. Samet
|
Director | March 25, 2010 | ||
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PART IV
Item 15. Exhibits and Financial Statement Schedules
(a)(3) The exhibits filed herewith are listed on the Exhibit Index filed as part of this report on
Form 10-K/A.
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of
1934, the Registration has duly caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized.
PRINCETON NATIONAL BANCORP, INC. |
||||
By: | /s/ Thomas D. Ogaard | |||
Thomas D. Ogaard, President and Chief Executive Officer |
||||
Date: January 12, 2011 |
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