UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C.

 

(Mark One)

FORM 10-Q/A

 

(Amendment No. 1)

  

 

x QUARTERLY REPORT UNDER SECTION 13 OR 15(d)  
  OF THE SECURITIES EXCHANGE ACT OF 1934  

 

For the Quarterly Period Ended September 30, 2013

 

OR

 

¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF  
  THE SECURITIES EXCHANGE ACT OF 1934  

 

For the Transition Period from _________to_________

 

Commission File Number 000-49757

 

FIRST RELIANCE BANCSHARES, INC.

(Exact name of small business issuer as specified in its charter)

 

South Carolina 80-0030931

(State or Other Jurisdiction of

Incorporation or Organization)

(I.R.S. Employer

Identification No.)

 

2170 West Palmetto Street

Florence, South Carolina 29501

(Address of Principal Executive

Offices)

 

(843) 656-5000

(Registrant’s Telephone Number, Including Area Code)

  

 

 

State the number of shares outstanding of each of the issuer’s classes of common equity as of the latest practicable date:

 

4,566,650 shares of common stock, par value $0.01 per share, as of October 31, 2013

 

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. 

x Yes ¨ 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 x 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  ¨ Non-accelerated filer ¨ Smaller reporting company  x
    (Do not check if a 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  x

 

 
 

  

Explanatory Note

 

The sole purpose of this Amendment to First Reliance Bancshares, Inc.’s Quarterly Report on Form 10-Q for the period ended September 30, 2013, filed with the Securities and Exchange Commission on November 8, 2013 (the “Form 10-Q”), is to provide the condensed consolidated financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language) furnished as Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 to this report provides the condensed consolidated financial statements and related notes from the Form 10-Q formatted in XBRL. No other changes have been made to the Form 10-Q.

 

 
 

  

Item 6. Exhibits 

 

Exhibit Number   Exhibit
     
31.1   Certification pursuant to Rule 13a-15 under the Securities Exchange Act of 1934, as amended.*
31.2   Certification pursuant to Rule 13a-15 under the Securities Exchange Act of 1934, as amended.*
32.1   Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*
32.2   Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*
101   Interactive Data Files providing financial information from the Registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2013 in XBRL.  Pursuant to Regulation 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of Section 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities Exchange Act of 1934, as amended, and are otherwise not subject to liability.**

 

* These exhibits were previously included or incorporated by reference in First Reliance Bancshares, Inc.’s Quarterly Report on Form 10-Q for the period ended September 30, 2013, filed with the Securities and Exchange Commission on November 8, 2013.

** Filed herewith.

 

 
 

  

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.

  

  FIRST RELIANCE BANCSHARES, INC.
     
Date: November 11, 2013 By: /s/ F.R. SAUNDERS, JR.
    F. R. Saunders, Jr.
    President and Chief Executive Officer
     
Date: November 11, 2013 By: /s/ JEFFREY A. PAOLUCCI
    Jeffrey A. Paolucci
    Executive Vice President and Chief Financial Officer