Item 4. Controls and Procedures
Item 4. Controls and Procedures
Evaluation of disclosure controls and procedures . The Company's management, under the supervision and with the participation of the Chief Executive Officer, Executive Chairman and Chief Financial Officer, evaluated, as of the last day of the period covered by this report, the effectiveness of the design and operation of the Company's disclosure controls and procedures, as defined in Rule 13a-15(e) under the Exchange Act. Based on that evaluation, the Chief Executive Officer, Executive Chairman and the Chief Financial Officer concluded that the Company's disclosure controls and procedures as of September 30, 2023 were effective to provide reasonable assurance that information required to be disclosed in the reports we file and submit under the Exchange Act is recorded, processed, summarized and reported as and when required and that it is accumulated and communicated to our management, including the Chief Executive Officer, Executive Chairman and Chief Financial Officer, as appropriate, to allow timely decisions regarding required disclosure.
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Changes in internal control over financial reporting . There were no changes in our internal control over financial reporting as defined in Exchange Act Rules 13a-15(f) and 15d-15(f) that occurred during the third quarter of 2023 that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting.
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PART II - OTHER INFORMATION
Item 1. - Legal Proceedings
Refer to "Note 12. Legal Contingencies" of the Notes to Consolidated Financial Statements included in Part I, Item 1 of this Quarterly Report on Form 10-Q, which is incorporated herein by reference.
Item 1A. - Risk Factors
We are subject to various risks and uncertainties, including those described in Part I, Item 1A, "Risk Factors" in our Annual Report on Form 10-K for the year ended December 31, 2022, which could adversely affect our business, financial performance and results of operations. There have been no material changes to our risk factors from those risks included in our Annual Report on Form 10-K.
Item 2. - Unregistered Sales of Equity Securities, Use of Proceeds, and Issuer Purchases of Equity Securities
None.
Item 3. - Defaults Upon Senior Securities
None.
Item 4. - Mine Safety Disclosures
Not Applicable.
Item 5. - Other Information
Director and Officer Trading Arrangements:
During the three months ended September 30, 2023, no director or officer (as defined in Rule 16a-1(f) under the Exchange Act) of the Company adopted or terminated a "Rule 10b5-1 trading arrangement" or "non-Rule 10b5-1 trading arrangement," as each term is defined in Item 408(a) of Regulation S-K.
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Item 6. - Exhibits
31.1
Certification of Susan G. Riel
31.2
Certification of Norman R. Pozez
31.3
Certification of Eric R. Newell
32.1
Certification of Susan G. Riel
32.2
Certification of Norman R. Pozez
32.3
Certification of Eric R. Newell
101 Interactive data files pursuant to Rule 405 of Regulation S-T:
(i) Consolidated Balance Sheets at September 30, 2023 and December 31, 2022
(ii) Consolidated Statement of Income for the three and nine months ended September 30, 2023 and 2022
(iii) Consolidated Statement of Comprehensive Income (Loss) for the three and nine months ended September 30, 2023 and 2022
(iv) Consolidated Statement of Changes in Shareholders' Equity for the three and nine months ended September 30, 2023 and 2022
(v) Consolidated Statement of Cash Flows for the nine months ended September 30, 2023 and 2022
(vi) Notes to the Consolidated Financial Statements
104 The cover page of this Quarterly Report on Form 10-Q, formatted in Inline XBRL
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SIGNATURES
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.
EAGLE BANCORP, INC.
Date: November 8, 2023 By: /s/ Susan G. Riel
Susan G. Riel, President and Chief Executive Officer of the Company
Date: November 8, 2023 By: /s/ Eric R. Newell
Eric R. Newell, Executive Vice President and Chief Financial Officer of the Company
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.