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EX-99.1 - TRINITY CAPITAL CORPORATION PRESS RELEASE ANNOUNCING SETTLEMENT WITH SECURITIES AND EXCHANGE COMMISSION - TRINITY CAPITAL CORPform8k2015929secpr.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

FORM 8-K

CURRENT REPORT,
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report September 29, 2015

TRINITY CAPITAL CORPORATION
(Exact name of Registrant as specified in its charter)

New Mexico
(State or other jurisdiction of incorporation)

000-50266
 
85-0242376
(Commission File Number)
 
(I.R.S. Employer Identification Number)
 
 
 
1200 Trinity Drive, Los Alamos, New Mexico
 
87544
(Address of principal executive offices)
 
(Zip Code)

(505) 662-5171
(Registrant's telephone number, including area code)

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:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ]  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))





Item 8.01.
 
Other Events
On September 29, 2015, Trinity Capital Corporation ("Trinity") announced a final settlement with the United States Securities and Exchange Commission (the "Commission") concluding the Commission's previously reported investigation of the Company's historical accounting and reporting for the years ended December 31, 2010 and 2011 and the first two quarters of 2012. Without admitting or denying the findings in the Commission's administrative cease-and-desist order, Trinity agreed to pay a civil penalty of $1.5 million. The press release announcing the foregoing is attached as Exhibit 99.1 hereto and is incorporated by reference herein.


Item 9.01.  
Financial Statements and Exhibits
 
(d)
Exhibits
   
99.1
Press Release dated September 29, 2015
       
SIGNATURES
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.

 
TRINITY CAPITAL CORPORATION
 
 
Dated: September 29, 2015
By:
/s/ John S. Gulas
 
 
John S. Gulas
Chief Executive Officer