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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 10-K/A
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT
OF 1934.
For the fiscal year ended December 31, 1999.
Commission file number 0-12292
UPBANCORP, INC.
(Exact name of registrant as specified in its charter)
DELAWARE 36-3207297
(State or other jurisdiction of (I.R.S.Employer
incorporation or organization) Identification No.)
4753 N. BROADWAY, CHICAGO, ILLINOIS 60640
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including
area code (773) 878-2000
Securities registered pursuant to Section 12(b) of the Act: NONE
Securities registered pursuant to Section 12(g) of the Act: COMMON STOCK-$1
PAR VALUE
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 for the
past 90 days. Yes X No
Indicate by check mark if the disclosure of delinquent filers pursuant to Item
405 of Regulation S-K is not contained herein, and will not be contained, to the
best of the 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. [ X ]
The aggregate market value of the voting stock held by non-affiliates of the
registrant as of March 10, 2000 (based upon the closing price as of such date),
was approximately $16,382,049.
The number of shares outstanding of the registrant's common stock, $1.00 par
value, as of March 10, 2000 is 837,308.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the proxy statement for the annual shareholders meeting to be held
April 18, 2000, are incorporated by reference into Part III of this Form 10-K.
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This amended 10-K is being filed for the sole purpose of correcting the
signature page (page numbered 45) to reflect that John E. Fahrendorf, Jr. did
not sign the 10-K as had been originally reported. The corrected signature
page is shown below.
SIGNATURES
PURSUANT TO THE REQUIREMENTS OF SECTION 13 OR 15(D) 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.
Date: March 10, 2000 UPBANCORP, INC.
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(The Registrant)
/s/ Richard K. Ostrom
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Richard K. Ostrom
Chairman of the Board,
President and Chief
Executive Officer
PURSUANT TO THE REQUIREMENTS OF THE SECURITIES EXCHANGE ACT OF 1934,
THIS REPORT HAS BEEN SIGNED BELOW BY THE FOLLOWING PERSONS ON BEHALF OF THE
REGISTRANT AND IN THEIR CAPACITIES ON MARCH 10, 2000.
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/s/ Richard K. Ostrom Chairman of the Board March 10, 2000
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Richard K. Ostrom
/s/ Stephen W. Edwards, CLU Director March 10, 2000
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Stephen W. Edwards, CLU
/s/ Delbert R. Ellis Director March 10, 2000
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Delbert R. Ellis
Director March 10, 2000
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John E. Fahrendorf, Jr.
/s/ Robert P. Griffiths Director March 10, 2000
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Robert P. Griffiths
/s/ Alfred E. Hackbarth, Jr. Director March 10, 2000
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Alfred E. Hackbarth, Jr.
/s/ James E. Heraty Director March 10, 2000
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James E. Heraty
/s/ Marvin L. Kocian Director March 10, 2000
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Marvin L. Kocian
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45
