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EX-99.1 - TRINITY CAPITAL CORPORATION PRESS RELEASE ANNOUNCING SETTLEMENT WITH SECURITIES AND EXCHANGE COMMISSION - TRINITY CAPITAL CORP | form8k2015929secpr.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
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85-0242376
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(Commission File Number)
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(I.R.S. Employer Identification Number)
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1200 Trinity Drive, Los Alamos, New Mexico
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87544
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(Address of principal executive offices)
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(Zip Code)
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(505) 662-5171
(Registrant's telephone number, including area code)
(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.
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Other Events
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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.
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Financial Statements and Exhibits
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(d)
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Exhibits
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99.1
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Press Release dated September 29, 2015
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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
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Dated: September 29, 2015
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By:
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/s/ John S. Gulas
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John S. Gulas
Chief Executive Officer
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