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EX-31.2 - EXHIBIT 31.2 - TRINITY CAPITAL CORPex31_2.htm
EX-31.1 - EXHIBIT 31.1 - TRINITY CAPITAL CORPex31_1.htm
EX-23.1 - EXHIBIT 23.1 CONSENT OF CROWE HORWATH LLP - TRINITY CAPITAL CORPex23_1.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 10-K/A
(Amendment No. 1)
 
(Mark One)
[ x ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the fiscal year ended December 31, 2014
 
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 000-50266


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

New Mexico
 
85-0242376
(State or other jurisdiction of incorporation or
organization)
 
(I.R.S. Employer Identification No.)
 
 
 
1200 Trinity Drive
Los Alamos, New Mexico
 
87544
(Address of principal executive offices)
 
(Zip Code)
 
 
 
Registrant's telephone number, including area code (505) 662-5171
 
 
 
Securities registered pursuant to Section 12(b) of the Act: None
 
 
 
Securities registered pursuant to Section 12(g) of the Act:
 
 
 
Common Stock, no par value per share
(Title of class)

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  [   ]  Yes    [ x ]  No
 
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.   [   ]  Yes    [ x ]  No
 
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    [ x ]  No

 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 during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).[   ]  Yes   [ x  ]  No

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§ 229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrant's 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.[ x ]   Yes    [  ] No

Indicate by check mark whether 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 Act. (Check one):

Large accelerated filer [   ] Accelerated filer[   ]
Non-accelerated filer   [   ]  (do not check if a smaller reporting company)     Smaller reporting company [ x]
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). 
[   ]  Yes   [ x ]  No
 
The aggregate market value of the registrant's common stock ("Common Stock") held by non-affiliates as of June 30, 2015, the last business day of the registrant's most recently completed second fiscal quarter, was approximately $25,967,000  (based on the last sale price of the Common Stock at June 30, 2015 of $4.00 per share).
 
As of March 31, 2016, there were 6,526,302 shares of Common Stock outstanding.
 





EXPLANATORY NOTE
 
Trinity Capital Corporations (the "Company") is filing this amendment No. 1 on Form 10-K/A to amend its Annual Report on Form 10-K for the fiscal year ended December 31, 2014 (the "Amendment"), as filed with the Securities and Exchange Commission (the "SEC") on May 9, 2016 (the "Original Filing"), to file a revised consent of the Company's independent registered public accounting firm as Exhibit 23.1.

In accordance with SEC rules, this Amendment includes currently dated certifications of our Chief Executive Officer and Chief Financial Officer.

Except as described above, no other changes have been made to the Original Filing.  The Original Filing continues to speak as of the date of the date of the Original Filing, and the Company has not updated the disclosures contained therein to reflect any events which occurred at a date subsequent to the filing of the Original Filing.  Accordingly, this Amendment should be read in conjunction with the Company's filings with the SEC subsequent to the date of the Original Filing.





TABLE OF CONTENTS
                 
PART IV
     ITEM 15. Exhibits and Financial Statement Schedules
SIGNATURES
 
   
 
 
 
 
 

_


PART IV
_
ITEM 15. Exhibits and Financial Statement Schedules.
 
 
 
 
23.1
 
Consent of Independent Registered Public Accounting Firm - Crowe Horwath LLP
 
   
31.1
 
Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a)
 
   
31.2
 
Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a)


_


SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
 
 
 
 
 
 
TRINITY CAPITAL CORPORATION
 
 
Date: November 23, 2016
By:
/s/ John S. Gulas
 
 
 
John S. Gulas
 
 
 
Chief Executive Officer and President