form10qa.htm

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.  20549
 
 
 
FORM 10-Q/A
Amendment No. 1
 
(Mark One)
(X)
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2011
 
OR
 
( )
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
 
SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM ____ TO ____.
 
Commission file number   1-12431

 
Unity Bancorp, Inc.
(Exact Name of Registrant as Specified in Its Charter)
 
New Jersey
22-3282551
(State or Other Jurisdiction of Incorporation or Organization)
(I.R.S. Employer Identification No.)
   
64 Old Highway 22, Clinton, NJ
08809
(Address of Principal Executive Offices)
(Zip Code)
 
 
Registrant’s Telephone Number, Including Area Code (908) 730-7630
 
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, as amended, 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 x     No o
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a nonaccelerated filer (as defined in Exchange Act Rule 12b-2):
Large accelerated filer o     Accelerated filer o     Nonaccelerated filer o     Smaller reporting company x

 
Indicate by check mark whether the registrant is a shell company as defined in Rule 12b-2 of the Exchange Act:  
Yes o     No x

 
The number of shares outstanding of each of the registrant’s classes of common equity stock, as of August 1, 2011 common stock, no par value: 7,412,397 shares outstanding
 
 
 
 
 
 
 
EXPLANATORY NOTE
 
 
We are filing this Amendment No. 1 to our Quarterly Report on Form 10-Q for the quarter ended June 30, 2011, for the purpose of correcting the format of the certifications filed previously as Exhibits 31.1, 31.2 and 32.1 with the original Form 10-Q. This Amendment makes only the changes identified above, does not change any previously reported financial results, and does not reflect events occurring after the date of the original filing of the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2011.
 

 
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ITEM 4.T   Controls and Procedures
 
(a)
The Company's management, with the participation of the Company's Chief Executive Officer and Chief Financial Officer, has evaluated the effectiveness of the Company's disclosure controls and procedures as of June 30, 2011.  Based on this evaluation, the Company's Chief Executive Officer and Chief Financial Officer concluded that the Company's disclosure controls and procedures are effective for recording, processing, summarizing and reporting the information the Company is required to disclose in the reports it files under the Securities Exchange Act of 1934, within the time periods specified in the SEC's rules and forms.
(b)
Changes in internal controls over financial reporting – No significant change in the Company’s internal control over financial reporting has occurred during the quarterly period covered by this report that has materially affected, or is reasonably likely to materially affect, the Company’s control over financial reporting.
 
 
 
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PART II – OTHER INFORMATION
 
Item 6.    Exhibits
 
(a) Exhibits   Description
 
Exhibit 31.1
Certification of Chief Executive Officer Pursuant to Rule 13a-14(a) or Rule 15d-14(a) and Section 302 of the Sarbanes-Oxley Act of 2002
 
 
Exhibit 31.2
Certification of Chief Financial Officer Pursuant to Rule 13a-14(a) or Rule 15d-14(a) and Section 302 of the Sarbanes-Oxley Act of 2002
 
   Exhibit 32.1  Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Rule 13a-14(b) or Rule 15d-14(b) and 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 
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SIGNATURES
 
    Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this amendment to be signed on its behalf by the undersigned thereunto duly authorized.
         
 
  UNITY BANCORP, INC.
   
Dated:   October 26, 2011
/s/ Alan J. Bedner, Jr.
 
 
ALAN J. BEDNER, JR.
 
Executive Vice President and Chief Financial Officer
 
 
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EXHIBIT INDEX
 
QUARTERLY REPORT ON FORM 10-Q
 
 
 EXHIBIT NO.    DESCRIPTION
 31.1
 Exhibit 31.1-Certification of James A. Hughes.  Required by Rule 13a-14(a) or Rule 15d-14(a) and section 302 of the Sarbanes-Oxley Act of 2002.
 
 31.2
 Exhibit 31.2-Certification of Alan J. Bedner, Jr.  Required by Rule 13a-14(a) or Rule 15d-14(a) and section 302 of the Sarbanes-Oxley Act of 2002.
 
 32.1  Exhibit 32.1 Certification of James A. Hughes and Alan J. Bedner.  Required by Rule 13a-14(b) or Rule 15d-14(b) and section 906 of the Sarbanes-Oxley Act of 2002, U.S.C. Section 1350.
 
 
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