AMERISERV FINANCIAL INC PA
For the period ended Dec 31, 2023. Filed Mar 27, 2024.
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FY2023 · Filed Mar 27, 2024
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Item 15. Exhibits, Financial Statement Schedules
ITEM 15. EXHIBITS AND CONSOLIDATED FINANCIAL STATEMENT SCHEDULES
CONSOLIDATED FINANCIAL STATEMENTS FILED:
The consolidated financial statements listed below are from this 2023 Form 10-K and Part II — Item 8. Page references are to this Form 10-K.
CONSOLIDATED FINANCIAL STATEMENTS:
| AmeriServ Financial, Inc. and Subsidiaries | |
|---|---|
| Consolidated Balance Sheets | 43 |
| Consolidated Statements of Operations | 44 |
| Consolidated Statements of Comprehensive Income (Loss) | 46 |
| Consolidated Statements of Changes in Shareholders’ Equity | 47 |
| Consolidated Statements of Cash Flows | 48 |
| Notes to Consolidated Financial Statements | 49 |
| Report of Independent Registered Public Accounting Firm (PCAOB ID 00074) | 103 |
| Report of Management’s Assessment of Internal Control Over Financial Reporting | 105 |
| Statement of Management Responsibility | 106 |
CONSOLIDATED FINANCIAL STATEMENT SCHEDULES:
These schedules are not required or are not applicable under SEC accounting regulations and therefore have been omitted.
EXHIBITS:
The exhibits listed below are filed herewith or to other filings.
| EXHIBITNUMBER | DESCRIPTION | PRIOR FILING OR EXHIBITPAGE NUMBER HEREIN | |||
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| 3.1 | Amended and Restated Articles of Incorporation as amended through August 11, 2011. | Exhibit 3.1 to the Registration Statement on Form S-8 (File No. 333-176869) filed on September 16, 2011 | |||
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| 3.2 | Bylaws, as amended and restated effective April 2, 2020. | Exhibit 3.1 to the Current Report on Form 8-K filed on April 6, 2020 | |||
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| 4.1 | | Description of Capital Stock. | | Attached | |
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| 10.1 | Employment Agreement, dated April 27, 2015, between AmeriServ Financial, Inc. and Jeffrey A. Stopko. | Exhibit 10.1 to the Current Report on Form 8-K filed on April 28, 2015 | |||
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| 10.2 | AmeriServ Financial, Inc. 2021 Equity Incentive Plan. | Appendix A to the Definitive Proxy Statement, filed under Schedule 14A, filed on March 23, 2021 | |||
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| 10.3 | AmeriServ Financial, Inc. Deferred Compensation Plan. | Exhibit 10.1 to the Current Report on Form 8-K filed on October 21, 2014 | |||
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| EXHIBITNUMBER | DESCRIPTION | PRIOR FILING OR EXHIBITPAGE NUMBER HEREIN | |||
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| 10.4 | Employment Agreement, dated February 19, 2016, between AmeriServ Financial, Inc. and Michael D. Lynch. | Exhibit 10.1 to the Current Report on Form 8-K filed on February 24, 2016 | |||
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| 10.5 | | Employment Agreement, dated May 17, 2010, between AmeriServ Financial, Inc. and James T. Huerth. | | Exhibit 10.1 to the Current Report on Form 8-K filed on August 29, 2023 | |
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| 10.6 | | AmeriServ Financial, Inc. 2011 Stock Incentive Plan. | | Appendix A to the Definitive Proxy Statement, filed under Schedule 14A, filed on March 21, 2011 | |
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| 21.1 | Subsidiaries of the Registrant. | Attached | |||
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| 23.1 | Consent of Independent Registered Public Accounting Firm. | Attached | |||
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| 31.1 | | Certification pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002. | | Attached | |
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| 31.2 | | Certification pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to section 302 of the Sarbanes-Oxley Act of 2002. | | Attached | |
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| 32.1 | | Certification pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002. | | Attached | |
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| 32.2 | | Certification pursuant to 18 U.S.C. section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002. | | Attached | |
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| 97 | | AmeriServ Financial, Inc. & Subsidiaries Compensation Recovery/Clawback Policy. | | Attached | |
| 101 | | The following information from AMERISERV FINANCIAL, INC.’s Annual Report on Form 10-K for the year ended December 31, 2023, formatted in Inline XBRL (eXtensible Business Reporting Language): (i) Consolidated Balance Sheets, (ii) Consolidated Statements of Operations, (iii) Consolidated Statements of Comprehensive Income (Loss), (iv) Consolidated Statements of Changes in Shareholders’ Equity, (v) Consolidated Statements of Cash Flows, and (vi) Notes to the Consolidated Financial Statements. | | Attached | |
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| 104 | | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | | Attached | |
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