SMITH MIDLAND CORP 10-Q/A

10-Q/A 1 smid-20210331x10xq.htm 10-Q/A smid-20210331x10xq     UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A  (Amendment No. 1)     ☑   QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934   For the quarterly period ended March 31, 2021   ☐   TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934   For the transition period from ________ to ________   Commission File Number 1-13752   Smith-Midland Corporation (Exact name of Registrant as specified in its charter)   Delaware 54-1727060 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.)   5119 Catlett Road, P.O. Box 300 Midland, VA 22728 (Address, zip code of principal executive offices)   (540)   439-3266 (Registrant’s telephone number, including area code)     Securities registered pursuant to Section 12(b) of the Act:  Title of each class  Trading Symbol  Name of each exchange on which registered  Common Stock, $0.01 par value per share  SMID  NASDAQ   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 ☑ No ☐   Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).  Yes ☑ No ☐   Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and "emerging growth company" in Rule 12b-2 of the Exchange Act.   Large accelerated filer  ☐ Accelerated filer  ☐ Non-accelerated filer  ☐ Smaller reporting company  ☑ Emerging growth company  ☐       If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐   Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ☐ No ☑   Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date. Common Stock, $0.01 par value, outstanding as of April 30, 2021: 5,202,158 shares, net of treasury shares     EXPLANATORY NOTE   The purpose of this Amendment No. 1 to the Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2021 for Smith-Midland Corporation, filed with the Securities and Exchange Commission on May 11, 2021, as amended (the “Form 10-Q”), is solely to furnish Exhibit 101 to the Form 10-Q, which provides the consolidated financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).   No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the original Form 10-Q.            I TEM 6.    Exhibits     Exhibit No.   Exhibit Description 31.1   Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934. 31.2   Certification of the Principal Financial Officer pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934. 32.1   Certification pursuant 18 U.S.C. Section 1350 as adapted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.   101.INS     XBRL Instance Document.   101.SCH             XBRL Taxonomy Extension Schema Document.   101.CAL       XBRL Taxonomy Extension Calculation Linkbase Document.   101.DEF       XBRL Taxonomy Extension Definition Linkbase Document.   101.LAB       XBRL Taxonomy Extension Label Linkbase Document.   101.PRE       XBRL Taxonomy Extension Presentation Linkbase Document.     23   S IGNATURES 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.                 SMITH-MIDLAND CORPORATION (Registrant)             Date: May 11, 2021 By: /s/ Ashley B. Smith         Ashley B. Smith, Chief Executive Officer         (Principal Executive Officer)                        Date: May 11, 2021 By: /s/ Adam J. Krick         Adam J. Krick, Chief Financial Officer         (Principal Financial Officer)                   24