UNITED STATES

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549


FORM 10-Q/A

(Amendment No. 3)

(Mark One)

þ 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

Commission File Number:  001-13349


BAR HARBOR BANKSHARES

(Exact name of registrant as specified in its charter)


Maine

01-0393663

(State or other jurisdiction of

incorporation or organization)

(I.R.S. Employer

Identification Number)

 

 

PO Box 400

 

82 Main Street, Bar Harbor, ME

04609-0400

(Address of principal executive offices)

(Zip Code)


(207) 288-3314

(Registrant's telephone number, including area code)


Inapplicable

(Former name, former address and former fiscal year, if changed since last report)


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 þ 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 (§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 þ NO ¨


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 ¨ Accelerated filer þ Non-accelerated filer (do not check if a smaller reporting company) ¨ 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: ¨ NO: þ


Indicate the number of shares outstanding of each of the issuer's classes of common stock as of the latest practicable date:

Class of Common Stock

Number of Shares Outstanding – August 1, 2011

$2.00 Par Value

3,862,273

EXPLANATORY NOTE


The purpose of this Amendment No. 3 to the Company’s Quarterly Report on Form 10-Q for the period ended June 30, 2011 (the “10-Q”), is to furnish the Interactive Data File exhibits required by Item 601(b)(101) of Regulation S-K. The Company inadvertently attached the Interactive Data File Exhibits from the Company’s June 30, 2012 Form 10-Q filing as a part of its earlier filing of Amendment No. 2 to the 10-Q.  We are also correcting the exhibit table reference to Exhibit 4.4 which was originally reflected as “filed herewith” in the 10-Q and should have been incorporated by reference to a prior filing. No other changes have been made to the 10-Q, and this Amendment No. 3 has not been updated to reflect events occurring subsequent to the filing of the 10-Q.




Item 6:


(a)

Exhibits.


EXHIBIT
NUMBER

 

 

 

 

 

3.1

Articles of Incorporation, as amended to date

Incorporated herein by reference to Form 10-K, Part IV, Item 15, Exhibit 3.1, filed with the Commission on March 16, 2009.

   

 

 

3.2

Bylaws, as amended to date

Incorporated herein by reference to Form 8-K, Exhibit 3, filed with the Commission on December 17, 2008.

   

 

 

4

Instruments Defining Rights of Security Holders

 

 

 

 

4.1

Certificate of Designations, Fixed Rate Cumulative
Perpetual Preferred Stock, Series A

Incorporated herein by reference to Form 8-K, Exhibit 3.1, filed with the Commission on January 21, 2009

 

 

 

4.2

Form of Specimen Stock Certificate for Series A
Preferred Sock

Incorporated herein by reference to Form 8-K, Exhibit 4.1, filed with the Commission on January 21, 2009

 

 

 

4.3

Debt Securities Purchase Agreement

Incorporated herein by reference to Form 10-K, Part IV, Item 15, Exhibit 4.5, filed with the Commission on March 16, 2009.

 

 

 

4.4

Form of Subordinated Debt Security of Bar Harbor Bank & Trust

Incorporated herein by reference to Form 10-K, Part IV, Item 15, Exhibit 4.6, filed with the Commission on March 16, 2009.

 

 

 

10.1

2011Annual Incentive Plan for Executive Officers

Incorporated herein by reference to Form 8-K, Exhibit 5.02, filed with the Commission on June 24, 2011.

 

 

 

11.1

Statement re computation of per share earnings

Data required by SFAS No. 128, Earnings Per Share, is provided in Note 3 to the consolidated financial statements in this report on Form 10-Q.

 

 

 

31.1

Certification of the Chief Executive Officer under
Rule 13a-14(a)/15d-14(a)

Filed herewith.

 

 

 

31.2

Certification of the Chief Financial Officer under
Rule 13a-14(a)/15d-14(a)

Filed herewith.

 

 

 

32.1

Certification of Chief Executive Officer under
18 U.S.C. Section 1350

Furnished herewith.

 

 

 

32.2

Certification of Chief Financial Officer under
18 U.S.C. Section 1350

Furnished herewith.

 

 

 






 




101

The following financial information from the Company’s Quarterly Report on Form10-Q for the three and six months ended June 30, 2011 is formatted in XBRL (eXtensible Business Reporting Language): (i) Consolidated Condensed Statements of Income, (ii) the Condensed Consolidated Balances Sheets, (iii) the Condensed  Consolidated Statements of Changes in Shareholders’ Equity,

 (iv) the Consolidated Statements of Cash Flows and (v) Notes to the Consolidated Condensed Financial Statements

Furnished herewith.


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.



 

BAR HARBOR BANKSHARES

(Registrant)

 

 

 

 

Date: March 29, 2013

/s/Joseph M. Murphy

 

 

 

Joseph M. Murphy

 

President & Chief Executive Officer

 

 

 

 

Date: March 29, 2013

/s/Gerald Shencavitz

 

 

 

Gerald Shencavitz

Executive Vice President, Chief Financial Officer

& Principal Accounting Officer



 


 

Exhibit Index



   3.1

 

Articles of Incorporation, as amended to date (incorporated herein by reference to Form 10-K, Part IV, Item 15, Exhibit 3.1, filed with the Commission on March 16, 2009).

 

 

 

  3.2

 

Bylaws, as amended to date (incorporated herein by reference to Form 8-K, Exhibit 3, filed with the Commission on December 17, 2008).

 

 

 

4

 

Instruments Defining Rights of Security Holders

 

 

 

     4.1

 

Certificate of Designations, Fixed Rate Cumulative Perpetual Preferred Stock, Series A (incorporated herein by reference to Form 8-K, Exhibit 3.1, filed with the Commission on January 21, 2009).

 

 

 

     4.2

 

Form of Specimen Stock Certificate for Series A Preferred Stock (incorporated herein by reference to Form 8-K, Exhibit 4.1, filed with the Commission on January 21, 2009).

 

 

 

      4.3

 

Debt Securities Purchase Agreement (incorporated herein by reference to Form 1-K, Part IV, Item 15, Exhibit 4.5, filed with the Commission on March 16, 2009).

 

 

 

      4.4

 

Form of Subordinated Debt Security of Bar Harbor Bank & Trust (incorporated herein by reference to Form 10-K, Part IV, Item 15, Exhibit 4.6, filed with the Commission on March 16, 2009).

 

 

 

10.1

 

2011 Annual Incentive Plan for Executive Officers (filed herewith)

 

 

 

11.1

 

Statement re computation of per share earnings (data required by SFAS No. 128, Earnings Per Share, is provided in Note 3 to the consolidated financial statements in this report on Form 10-Q)

 

 

 

31.1

 

Certification of the Chief Executive Officer under

Rule 13a-14(a)/15d-14(a) (filed herewith)

 

 

 

31.2

 

Certification of the Chief Financial Officer under

  Rule 13a-14(a)/15d-14(a) (filed herewith)

 

 

 

32.1

 

Certification of Chief Executive Officer under 18 U.S.C. Section 1350  (furnished  herewith)

 

 

 

32.2

 

   Certification of Chief Financial Officer under 18 U.S.C. Section 1350  (furnished herewith)


101*

Financial statements from the quarterly report on Form 10-Q of Bar Harbor Bankshares for the three and six months ended June 30, 2011, formatted in XBRL (eXtensible Business Reporting Language): (i) the Consolidated Balance Sheets, (ii) the Consolidated Statements of Operations, (iii) the Consolidated Statements of Shareholders’ Equity and Comprehensive Income, (iv) the Consolidated Statements of Cash Flows and (v) Notes to Consolidated Financial Statements.



*

Pursuant to Rule 406T of Regulation S-T, the Interactive Data Files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities and Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.