Attached files
| file | filename |
|---|---|
| EX-10.1 - EXHIBIT 10.1 AMENDED AND RESTATED EBP - New Enterprise Stone & Lime Co., Inc. | exhibit101aamendedandresta.htm |
| EX-31.2 - EXHIBIT 31.2 - New Enterprise Stone & Lime Co., Inc. | exhibit312a08-31x2015.htm |
| EX-31.1 - EXHIBIT 31.1 - New Enterprise Stone & Lime Co., Inc. | exhibit311a08-31x2015.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Mark One)
ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended August 31, 2015
OR
o 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: 333-176538
NEW ENTERPRISE STONE & LIME CO., INC.
(Exact name of registrant as specified in its charter)
Delaware | 23-1374051 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification Number) | |
3912 Brumbaugh Road P.O. Box 77 New Enterprise, PA | 16664 | |
(Address of principal executive offices) | (Zip Code) | |
Registrant’s telephone number, including area code: (814) 766-2211
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 o
No ý
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes ý No o
The registrant is a voluntary filer and not subject to the filing requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934.
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.
Large accelerated filer o | Accelerated filer o | |
Non-accelerated filer x | Smaller reporting company o | |
(Do not check if a smaller reporting company) | ||
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No ý
As of October 13, 2015, the number of shares outstanding of the registrant’s Class A Voting Common Stock, $1.00 par value, was 500 shares and the number of shares outstanding of the registrant’s Class B Non-Voting Common Stock, $1.00 par value, was 273,285 shares.
Explanatory Note
This Amendment No. 1 on Form 10-Q/A (this “Amendment Filing”) of New Enterprise Stone & Lime Co., Inc. (the “Company”) amends the Quarterly Report on Form 10-Q of the Company for the fiscal quarter ended August 31, 2015, which was originally filed on October 13, 2015 (the “Original Filing”). The Company is filing this Amendment Filing solely for the purpose of re-filing Exhibit 10.1 thereto, which was incorrectly filed in the Original Filing.
Pursuant to Rule 12b-15 under the Securities Exchange Act of 1934, as amended, this Amendment Filing also contains new certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, which are attached hereto. Because no financial statements have been included in this Amendment Filing and this Amendment Filing does not contain or amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted.
Except as described above, this Amendment Filing does not modify or update any part of or information set forth in the Original Filing.
PART II - OTHER INFORMATION
Item 6. Exhibits
(a) Exhibits
EXHIBIT NO. | IDENTIFICATION OF EXHIBIT | |
10.1 | Amended and Restated Executive Benefit Plan | |
31.1* | Certification pursuant to Rule 13a-14(a) and 15d-14(a), required under Section 302 of the Sarbanes-Oxley Act of 2002 | |
31.2* | Certification pursuant to Rule 13a-14(a) and 15d-14(a), required under Section 302 of the Sarbanes-Oxley Act of 2002 | |
* Filed herewith.
SIGNATURE
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 thereunto duly authorized.
NEW ENTERPRISE STONE & LIME CO., INC. | ||
Date: October 13, 2015 | By: | /s/ Albert L. Stone |
Albert L. Stone | ||
Executive Vice President and Chief Financial Officer | ||
INDEX TO EXHIBITS
EXHIBIT NO. | IDENTIFICATION OF EXHIBIT | |
10.1 | Amended and Restated Executive Benefit Plan | |
31.1* | Certification pursuant to Rule 13a-14(a) and 15d-14(a), required under Section 302 of the Sarbanes-Oxley Act of 2002 | |
31.2* | Certification pursuant to Rule 13a-14(a) and 15d-14(a), required under Section 302 of the Sarbanes-Oxley Act of 2002 | |
* Filed herewith.