HWFG » Topics » Table of Contents

This excerpt taken from the HWFG 8-K filed Dec 9, 2008.

Table of Contents

Item 3.03

 

Material Modification to Rights of Security Holders

Item 8.01.

Other Events

Item 9.01.

Financial Statements and Exhibits.

SIGNATURE

EXHIBIT

4.1

Certificate of Amendment to Certificate of Incorporation

EXHIBIT

99.1

Press Release dated December 4, 2008


Item 3.03     Material Modification to Rights of Security Holders

On December 5, 2008, Harrington West Financial Group, Inc. (the “Company”) (Nasdaq: HWFG) filed a Certificate of Amendment to its Certificate of Incorporation increasing the number of authorized shares of its Common and Preferred Stock to 15,000,000 and 5,000,000, respectively.  A copy of the Certificate of Amendment is attached hereto as Exhibit 4.1.

Item 8.01     Other Events.

On December 4, 2008, the Company issued a press release announcing the results of its special stockholder meeting held on December 3.  At the special meeting, stockholders approved the amendment of the Company’s Certificate of Incorporation as discussed in Item 3.03 above.  In addition, the stockholders approved the conversion, from time to time in accordance with its terms, of the shares of Series A Preferred Stock into Common Stock and the issuance of Common Stock in accordance with the terms of the Series A Preferred Stock as issued, and to be issued, to Concordia Capital Financial Services Fund L.P., and other accredited investors, pursuant to the Company’s recent private sale of such securities.  A copy of the press release is attached hereto as Exhibit 99.1, and incorporated herein by reference.

Section 9 - Financial Statements and Exhibits

Item 9.01     Financial Statements and Exhibits

 

(d)

 

Exhibits:

 
 

4.1

Certificate of Amendment of Certificate of Incorporation

99.1

Press Release Dated December 4, 2008.


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.

 


Table of Contents

This excerpt taken from the HWFG 8-K filed Feb 4, 2008.

Table of Contents

Item 2.02 Results of Operations and Financial Condition.

Item 9.01 Financial Statements and Exhibits.

SIGNATURE

EXHIBIT 99.1


Item 2.02 Results of Operations and Financial Condition.

On February 4, 2008, Harrington West Financial Group, Inc. (the "Company") announced by press release its earnings for the fourth quarter ended December 31, 2007. A copy of the press release is attached hereto as Exhibit 99.1.

The information contained in this Report on Form 8-K is furnished pursuant to Item 2.02 and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference into any of the Company’s filings with the Securities and Exchange Commission, except as shall be expressly set forth by specific reference in any such filing.

This excerpt taken from the HWFG 8-K filed Feb 3, 2005.

Table of Contents

Item 8.01.  Other Events

Item 9.01.  Financial Statements and Exhibits.

SIGNATURE

EXHIBIT 99.1



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