# First Capital Inc: Form 10-K/A for the period ended Dec 31, 2021 - Company: [First Capital Inc](/companies/fcap.md) (CIK 1070296) - Form: 10-K/A - Filed: 2022-06-02 - Accepted by EDGAR: Jun 2, 2022, 06:00 ET - Period: 2021-12-31 - Accession: 0001104659-22-067299 - Inline XBRL: no - Main document: https://www.sec.gov/Archives/edgar/data/1070296/000110465922067299/tm2217145d1_10ka.htm - All documents and exhibits: https://www.sec.gov/Archives/edgar/data/1070296/000110465922067299/ ## Controls and procedures As filed, 5,691 characters. ### Disclosure Controls and Procedures The Company’s management, including the Company’s principal executive officer and principal financial officer, have evaluated the effectiveness of the Company’s “disclosure controls and procedures,” as such term is defined in Rule 13a-15(e) promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). Based upon their evaluation, the principal executive officer and principal financial officer concluded that, as of the end of the period covered by this report, the Company’s disclosure controls and procedures were effective for the purpose of ensuring that the information required to be disclosed in the reports that the Company files or submits under the Exchange Act with the Securities and Exchange Commission (the “SEC”): (1) is recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms, and (2) is accumulated and communicated to the Company’s management, including its principal executive and principal financial officers, as appropriate to allow timely decisions regarding required disclosure. ### Internal Control over Financial Reporting The Company’s management is responsible for establishing and maintaining effective internal control over financial reporting. Internal control is designed to provide reasonable assurance to the Company’s management and board of directors regarding the preparation of reliable published financial statements. Internal control over financial reporting includes self-monitoring mechanisms, and actions are taken to correct deficiencies as they are identified. Because of inherent limitations in any system of internal control, no matter how well designed, misstatements due to error or fraud may occur and not be detected, including the possibility of the circumvention or overriding of controls. Accordingly, even effective internal control over financial reporting can provide only reasonable assurance with respect to financial statement preparation. Further, because of changes in conditions, internal control effectiveness may vary over time. The Company’s management assessed our internal control over financial reporting as of December 31, 2021, based in part upon certain assumptions about the likelihood of future events. In making this assessment, management used the criteria set forth in the 2013 “Internal Control Integrated Framework” issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). Based on this assessment, management asserts that the Company maintained effective internal control over financial reporting as of December 31, 2021 based on the specified criteria. This annual report does not include an attestation report of the Company’s registered public accounting firm regarding internal control over financial reporting. Management’s report was not subject to attestation by the Company’s registered public accounting firm pursuant to rules of the SEC that permit the Company to provide only management’s report in this annual report ### Changes to Internal Control over Financial Reporting There have been no changes in the Company’s internal control over financial reporting during the quarter ended December 31, 2021 that have materially affected, or are reasonably likely to materially affect, the Company’s internal control over financial reporting. INDEX TO EXHIBITS The following exhibits are filed as part of this Amendment. | | | | ---: | --- | | 31.1 | Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer | | 31.2 | Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer | | 32.0 | Section 1350 Certification of Chief Executive Officer & Chief Financial Officer | | 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | ### 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: June 2, 2022 | /s/ William W. Harrod | | | William W. Harrod | | | 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 the capacities and on the dates indicated. | | | | | --- | --- | --- | | Name | Title | Date | | /s/ William W. Harrod | President, Chief Executive Officer and Director | June 2, 2022 | | William W. Harrod | (principal executive officer) | | | /s/ Kathryn W. Ernstberger | Chairwoman | June 2, 2022 | | Kathryn W. Ernstberger | | | | /s/ Michael C. Frederick | Executive Vice President, Chief Financial Officer, Treasurer and Director | June 2, 2022 | | Michael C. Frederick | (principal accounting and financial officer) | | | /s/ Michael L. Shireman | Director | June 2, 2022 | | Michael L. Shireman | | | | /s/ Mark D. Shireman | Director | June 2, 2022 | | Mark D. Shireman | | | | /s/ William I. Orwick, Sr. | Director | June 2, 2022 | | William I. Orwick, Sr. | | | | /s/ Carolyn E. Wallace | Director | June 2, 2022 | | Carolyn E. Wallace | | | | /s/ Pamela G. Kraft | Director | June 2, 2022 | | Pamela G. Kraft | | | | /s/ Christopher L. Byrd | Director | June 2, 2022 | | Christopher L. Byrd | | | | /s/ Dana L. Huber | Director | June 2, 2022 | | Dana L. Huber | | | | /s/ Lou Ann Moore | Director | June 2, 2022 | | Lou Ann Moore | | | | /s/ Robert C. Guilfoyle | Director | June 2, 2022 | | Robert C. Guilfoyle | | | | /s/ Jill S. Saegesser | Director | June 2, 2022 | | Jill S. Saegesser | | | Filed Jun 2, 2022. Source: SEC EDGAR, the filing index for accession 0001104659-22-067299. Last ingested by Listed: Nov 6, 2026, 18:07 ET. No prices; not investment advice.