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YADKIN FINANCIAL Corp 10-K 2007
Yadkin Valley Financial Corporation
 

 
 
U.S. Securities and Exchange Commission
Washington, DC 20549
Form 10-K/A
AMENDMENT No. 1 TO FORM 10-K
     
x
  ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
 
   
 
  FOR THE FISCAL YEAR ENDED DECEMBER 31, 2006.
 
   
o
  TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
 
   
 
  FOR THE TRANSITION PERIOD FROM ____________ TO ____________
Commission File Number 0001366367
Yadkin Valley Financial Corporation
(Exact name of registrant as specified in its charter)
     
North Carolina   20-4495993
     
(State or other jurisdiction of   (I.R.S. Employer Identification No.)
incorporation or organization)    
209 North Bridge Street
Elkin, North Carolina 28621-3404
(Address of principal executive offices)
(336) 526-6300
(Registrant’s telephone number, including area code)
Securities registered under Section 12(b) of the Act: Common Stock, $1.00 par value
Securities registered under Section 12(g) of the Act: None
Indicate by check mark whether the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    Yes o       No x
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 o       No x
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 o
Indicate by check mark if disclosure of delinquent filers in response to Item 405 of Regulation S-K 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. o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer or a non-accelerated filer. See definition of “accelerated filer” and “large accelerated filer” in Rule 12b-2 of the Exchange Act.
Large accelerated filer o            Accelerated filer x            Non-accelerated filer o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act).     Yes o       No x
The aggregate market value of the registrant’s Common Stock at June 30, 2006, held by those persons deemed by the registrant to be non-affiliates, was approximately $140.5 million.
As of August 24, 2007 (the most recent practicable date), the registrant had outstanding 10,574,977 shares of Common Stock.
 
 

 


 

         
TABLE OF CONTENTS
       
 
       
     Explanatory Note
       
 
       
          PART IV
       
          -Item 15 — Exhibits
       
 
       
          Exhibit 23:
  Consent of the Company’s Independent Registered Public Accounting Firm    
 
       
          Exhibit 31.1:
  Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer    
 
       
          Exhibit 31.2:
  Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer    
 
       
          Exhibit 32:
  Section 1350 Certification    

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EXPLANATORY NOTE
This Amendment No. 1 to Form 10-K/A of the Yadkin Valley Financial Corporation (the “Company”) Annual Report on Form 10-K for the fiscal year ended December 31, 2006 (the “Original Filing”), which was filed with the Securities and Exchange Commission on March 16, 2007, is being filed to amend the Original Filing to include the consent of the company's independent registered public accounting firm.
As a result of this amendment, the management certifications, filed as exhibits to the Original Filing, have been re-executed and re-filed as of the date of this Form 10-K/A.
Except for the amendments described above, this Form 10-K/A does not modify or update other disclosures in, or exhibits to, the Original Filing.
PART IV
Item 15 — Exhibits
     
Exhibit No.   Description
 
   
Exhibit 23:
  Consent of the Company’s Independent Registered Public Accounting Firm
 
   
Exhibit 31.1:
  Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer
 
   
Exhibit 31.2:
  Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer Rule
 
   
Exhibit 32:
  Section 1350 Certification

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Signatures
In accordance with Section 13 or 15(d) of the Exchange Act, the Registrant has caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
         
YADKIN VALLEY FINANCIAL CORPORATION
 
       
By:   /s/ William A. Long   Date: August 24, 2007
         
    William A. Long
President and Chief Executive Officer
   
         
By:   /s/ Edwin E. Laws   Date: August 24, 2007
         
    Edwin E. Laws
Chief Financial Officer
   
In accordance with the Exchange Act, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
     
/s/ William A. Long
  Date: August 24, 2007
 
William A. Long
President, Chief Executive Officer, and
Director
   
 
   
/s/ Ralph L. Bentley
  Date: August 24, 2007
 
Ralph L. Bentley
Director
   
 
   
/s/ Faye E. Cooper
  Date: August 24, 2007
 
Faye E. Cooper
Director
   
 
   
/s/ Harry M. Davis
  Date: August 24, 2007
 
Harry M. Davis
Director
   
 
   
/s/ Daniel J. Park
  Date: August 24, 2007
 
Daniel J. Park
Director
   
 
   
/s/ Harry C. Spell
  Date: August 24, 2007
 
Harry C. Spell
Director
   
 
   
/s/ James N. Smoak
  Date: August 24, 2007
 
James N. Smoak
Director
   
 
   
/s/ Kenneth Wilcox
  Date: August 24, 2007
 
Kenneth Wilcox
Director
   

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