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style="font-size:7pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:31.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:7pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:1pt;"><td colspan="4" style="vertical-align:top;width:100%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:7pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">(Former Name or Former Address, if Changed Since Last Report)</b></p></td></tr><tr style="height:1pt;"><td colspan="4" style="vertical-align:top;width:100%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:7pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:1pt;"><td colspan="4" style="vertical-align:top;width:100%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:7pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;margin:0pt;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:36pt;text-indent:-36pt;margin:0pt 0pt 0pt 18pt;"><span style="font-size:9pt;margin-left:0pt;visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;border:0;"><tr><td style="width:18pt;padding:0pt;"></td><td style="vertical-align:text-top;white-space:nowrap;width:21.6pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_8_26_2021_To_8_26_2021_Q2U6YWMJkkCJDkTwK-9CXg" name="dei:WrittenCommunications" id="Narr_O39K8GUJZ0WO7nSjF_z-hw"><span style="font-family:'MS Mincho';font-size:9pt;">&#9744;</span></ix:nonNumeric></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><span style="font-size:9pt;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:36pt;text-indent:-36pt;margin:0pt 0pt 0pt 18pt;"><span style="font-size:8pt;margin-left:0pt;visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;border:0;"><tr><td style="width:18pt;padding:0pt;"></td><td style="vertical-align:text-top;white-space:nowrap;width:21.6pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_8_26_2021_To_8_26_2021_Q2U6YWMJkkCJDkTwK-9CXg" name="dei:SolicitingMaterial" id="Narr_5MPEBBVQY0GwlY8_jYC9cw"><span style="font-family:'MS Mincho';font-size:9pt;">&#9744;</span></ix:nonNumeric></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><span style="font-size:9pt;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:36pt;text-indent:-36pt;margin:0pt 0pt 0pt 18pt;"><span style="font-size:8pt;margin-left:0pt;visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;border:0;"><tr><td style="width:18pt;padding:0pt;"></td><td style="vertical-align:text-top;white-space:nowrap;width:21.6pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_8_26_2021_To_8_26_2021_Q2U6YWMJkkCJDkTwK-9CXg" name="dei:PreCommencementTenderOffer" id="Narr_AtfhSYKw90qvg-pOWcJI_g"><span style="font-family:'MS Mincho';font-size:9pt;">&#9744;</span></ix:nonNumeric></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><span style="font-size:9pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:36pt;text-indent:-36pt;margin:0pt 0pt 0pt 18pt;"><span style="font-size:8pt;margin-left:0pt;visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;border:0;"><tr><td style="width:18pt;padding:0pt;"></td><td style="vertical-align:text-top;white-space:nowrap;width:21.6pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_8_26_2021_To_8_26_2021_Q2U6YWMJkkCJDkTwK-9CXg" name="dei:PreCommencementIssuerTenderOffer" id="Narr_7zmGwGyzrk68903gOtcfTQ"><span style="font-family:'MS Mincho';font-size:9pt;">&#9744;</span></ix:nonNumeric></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;"><span style="font-size:9pt;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:justify;margin:0pt;">Securities registered pursuant to Section 12(b) of the Act:</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p><a id="_55300189_14b7_485f_a49a_7df2abec505c"></a><a id="Tc_XVcrdwgelUeBjH6sAZ20_Q_1_0"></a><a id="Tc_H4EMVFZJWEORaXEIG5F06A_1_2"></a><a id="Tc_Oih54dq8Dk2eq8Tg1LmSNw_1_4"></a><a id="Tc_ku-O3wi0pUagZgsAlZAREA_3_0"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:top;width:42.66%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:2.29%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:13.45%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:1.86%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:39.71%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:top;width:42.66%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt;">Title Of Each Class</p></td><td style="vertical-align:top;width:2.29%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:13.45%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt;">Trading&#160;Symbol</p></td><td style="vertical-align:top;width:1.86%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:39.71%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt;">Name of Each Exchange On Which Registered</p></td></tr><tr style="height:9.8pt;"><td style="vertical-align:top;width:42.66%;border-top:1px solid #000000;margin:0pt;padding:0pt;"><div style="height:9.8pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_8_26_2021_To_8_26_2021_us-gaap_StatementClassOfStockAxis_us-gaap_CommonStockMember_fjTBnwn7t02hNlZO6MskGA" name="dei:Security12bTitle" id="Tc_BTmiwCUVJ0a3lCBPSEhRyw_2_0"><span style="font-size:9pt;">Common Stock</span></ix:nonNumeric></p></div></div></td><td style="vertical-align:top;width:2.29%;margin:0pt;padding:0pt;"><div style="height:9.8pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:13.45%;border-top:1px solid #000000;margin:0pt;padding:0pt;"><div style="height:9.8pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_8_26_2021_To_8_26_2021_us-gaap_StatementClassOfStockAxis_us-gaap_CommonStockMember_fjTBnwn7t02hNlZO6MskGA" name="dei:TradingSymbol" id="Tc_5y7YKIFaoUuFnoi6qBURZg_2_2"><span style="font-size:9pt;">ASRV</span></ix:nonNumeric></p></div></div></td><td style="vertical-align:top;width:1.86%;margin:0pt;padding:0pt;"><div style="height:9.8pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:39.71%;border-top:1px solid #000000;margin:0pt;padding:0pt;"><div style="height:9.8pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric format="ixt-sec:exchnameen" contextRef="Duration_8_26_2021_To_8_26_2021_us-gaap_StatementClassOfStockAxis_us-gaap_CommonStockMember_fjTBnwn7t02hNlZO6MskGA" name="dei:SecurityExchangeName" id="Tc_lcbsJoY9SESpYr7zdQqtQw_2_4"><span style="font-size:9pt;">The NASDAQ Stock Market LLC</span></ix:nonNumeric></p></div></div></td></tr><tr style="height:18.6pt;"><td style="vertical-align:top;width:42.66%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;">8.45% </span><ix:nonNumeric contextRef="Duration_8_26_2021_To_8_26_2021_us-gaap_StatementClassOfStockAxis_asrv_BeneficialUnsecuredSecuritiesMember_ZYLrRRlEAEKRqCNfHi9TKw" name="dei:Security12bTitle" id="Narr_UOHhQcgQREq2K4annNGguA"><span style="font-size:9pt;">Beneficial Unsecured Securities</span></ix:nonNumeric><span style="font-size:9pt;">, Series A</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt;">(AmeriServ Financial Capital Trust I)</p></td><td style="vertical-align:top;width:2.29%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:13.45%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_8_26_2021_To_8_26_2021_us-gaap_StatementClassOfStockAxis_asrv_BeneficialUnsecuredSecuritiesMember_ZYLrRRlEAEKRqCNfHi9TKw" name="dei:TradingSymbol" id="Tc_D4LbzOFusk6d5gSbPNYnWQ_3_2"><span style="font-size:9pt;">ASRVP</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:1.86%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:39.71%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric format="ixt-sec:exchnameen" contextRef="Duration_8_26_2021_To_8_26_2021_us-gaap_StatementClassOfStockAxis_asrv_BeneficialUnsecuredSecuritiesMember_ZYLrRRlEAEKRqCNfHi9TKw" name="dei:SecurityExchangeName" id="Tc_Mo2I_h36WkGxbqo3-lq8ew_3_4"><span style="font-size:9pt;">The NASDAQ Stock Market LLC</span></ix:nonNumeric></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;margin:0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &#167;230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR &#167;240.12b-2).</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-bottom:0pt;margin:0pt;"><span style="font-size:9pt;">Emerging growth company </span><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_8_26_2021_To_8_26_2021_Q2U6YWMJkkCJDkTwK-9CXg" name="dei:EntityEmergingGrowthCompany" id="Narr_FAmTT1b28kSqmAUhfwyOJQ"><span style="font-family:'MS Mincho';font-size:9pt;">&#9744;</span></ix:nonNumeric></p><p style="border-top-style:none;font-family:'Times New Roman','Times','serif';font-size:10pt;padding-top:0pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;margin:0pt 0pt 6pt 0pt;">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. &#9744;</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-bottom:1pt;padding-top:1pt;border-bottom:3.0pt solid #000000;border-top:1px solid #000000;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:12pt;visibility:hidden;">&#8203;</span></p><p style="display:none;font-family:'Times New Roman','Times','serif';line-height:0pt;margin:0pt;"><span style="font-size:0pt;visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:79.3%;border:0;margin:30pt 10.35% 30pt 10.35%;"></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><a id="_339e353d_aa2a_47e2_8bb0_169d874712af"></a><table style="border-collapse:collapse;border:0;"><tr><td style="vertical-align:text-top;white-space:nowrap;width:49.5pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Item 1.01</b></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Entry into a Material Definitive Agreement.</b></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;">On August 26, 2021, AmeriServ Financial, Inc. (the &quot;<span style="text-decoration:underline;text-decoration-color:#000000;">Company</span>&quot;), the holding company for AmeriServ Financial Bank and AmeriServ Trust and Financial Services Company, entered into Subordinated Note Purchase Agreements (the &quot;<span style="text-decoration:underline;text-decoration-color:#000000;">Agreements</span>&quot;) with certain institutional and accredited investors (collectively, the &quot;<span style="text-decoration:underline;text-decoration-color:#000000;">Purchasers</span>&quot;) and, pursuant to the Agreements, issued to the Purchasers $27.0 million in aggregate principal amount of its 3.75% Fixed-to-Floating Rate Subordinated Notes due 2031 (the &quot;<span style="text-decoration:underline;text-decoration-color:#000000;">Notes</span>&quot;). The Notes were offered and sold in a private placement transaction in reliance on exemptions from registration provided by Section 4(a)(2) of the Securities Act of 1933, as amended, and Rule 506(b) of Regulation D thereunder.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;"><span style="white-space:pre-wrap;">The Company intends to use the net proceeds from the issuance and sale of the Notes for redemption of existing debt and general corporate purposes.  The Notes are intended to qualify at the holding company level as Tier 2 capital under the capital guidelines of the Board of Governors of the Federal Reserve System.</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;">The Notes, which mature on September 1, 2031, bear interest at a fixed annual rate of 3.75% for the period from and including the issue date to but excluding September 1, 2026 (the &quot;<span style="text-decoration:underline;text-decoration-color:#000000;">Fixed Interest Rate Period</span><span style="white-space:pre-wrap;">&quot;).  From and including September 1, 2026 until redemption or maturity (the &quot;</span><span style="text-decoration:underline;text-decoration-color:#000000;">Floating Interest Rate Period</span><span style="white-space:pre-wrap;">&quot;), the interest rate will adjust to a floating rate equal to the rate per annum, reset quarterly, equal to the then-current 90-day secured overnight financing rate (SOFR) plus 3.11%.  The Company will pay interest in arrears semi-annually during the Fixed Interest Rate Period and quarterly in arrears during the Floating Interest Rate Period.  The Notes constitute unsecured and subordinated obligations of the Company and rank junior in right of payment to any senior indebtedness and obligations to general and secured creditors.  Subject to limited exceptions, the Company cannot redeem the Notes before September 1, 2026.  The Agreements and Notes contain customary subordination provisions and events of default.</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">The foregoing description of the Agreements and the Notes does not purport to be complete and is qualified in its entirety by reference to the form of the Agreements and the form of Notes, which are filed as Exhibits 10.1 and 4.1, respectively, to this Current Report on Form 8-K and are incorporated into this Item 1.01 by reference.</p><a id="_45ea5182_84cd_4284_a023_b413cebc1fcb"></a><table style="border-collapse:collapse;border:0;"><tr><td style="vertical-align:text-top;white-space:nowrap;width:49.5pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Item 2.03</b></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.</b></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">The discussion under Item 1.01 is incorporated by reference into this Item 2.03 of this Current Report on Form 8-K.</p><a id="_afc9c23b_ebb4_42db_95f6_1a17a3e39f4d"></a><table style="border-collapse:collapse;border:0;"><tr><td style="vertical-align:text-top;white-space:nowrap;width:49.5pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Item 7.01</b></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Regulation FD Disclosure.</b></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">Attached hereto as Exhibit 99.1 and incorporated by reference herein into this Item 7.01 is an investor presentation that the Company delivered to potential investors on a confidential basis. As provided in General Instruction B.2 to Form 8-K, the information furnished in Item 7.01 and Exhibit 99.1 of this Current Report on Form 8-K shall not be deemed &quot;filed&quot; for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the &quot;Exchange Act&quot;), or otherwise subject to the liabilities of that section, and such information shall not be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.</p><a id="_a14ee650_170e_47b9_b656_15228bfae63f"></a><table style="border-collapse:collapse;border:0;"><tr><td style="vertical-align:text-top;white-space:nowrap;width:49.7pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Item 9.01</b></p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:12pt;margin-top:0pt;"><b style="font-weight:bold;">Financial Statements and Exhibits.</b></p></td></tr></table><table style="border-collapse:collapse;border:0;"><tr><td style="vertical-align:text-top;white-space:nowrap;width:28.8pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;">(d)</p></td><td style="padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin-bottom:0pt;margin-top:0pt;">Exhibits:</p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;table-layout:auto;width:98.13%;"><tr style="height:1pt;"><td style="vertical-align:top;width:3.75%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="display:inline-block;text-indent:0pt;width:36pt;"></span><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:96.24%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:top;width:3.75%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">4.1</p></td><td style="vertical-align:top;width:96.24%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><a style="-sec-extract:exhibit;" href="tmb-20210826xex10d1.htm"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Form of 3.75% Fixed-to-Floating Subordinated Note due 2031 of AmeriServ Financial, Inc. (included as Exhibit A to Exhibit 10.1 and incorporated herein by reference).</span></a></p></td></tr><tr><td style="vertical-align:top;width:3.75%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">10.1</p></td><td style="vertical-align:top;width:96.24%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><a style="-sec-extract:exhibit;" href="tmb-20210826xex10d1.htm"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Form of Subordinated Note Purchase Agreement, dated as of August 26, 2021, by and between AmeriServ Financial, Inc. and several Purchasers.</span></a></p></td></tr><tr><td style="vertical-align:top;width:3.75%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">99.1</p></td><td style="vertical-align:top;width:96.24%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><a style="-sec-extract:exhibit;" href="tmb-20210826xex99d1.htm"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Investor Presentation.</span></a></p></td></tr><tr><td style="vertical-align:top;width:3.75%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">99.2</p></td><td style="vertical-align:top;width:96.24%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><a style="-sec-extract:exhibit;" href="tmb-20210826xex99d2.htm"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Press release, dated August 26, 2021.</span></a></p></td></tr><tr><td style="vertical-align:top;width:3.75%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">104</p></td><td style="vertical-align:top;width:96.24%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Cover Page Interactive Data File (embedded within the Inline XBRL document).</p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:79.3%;border:0;margin:30pt 10.35% 30pt 10.35%;"></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><a id="_aaf0c28b_d597_4a30_bf49_ef0d3aecf5f3"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="text-decoration:underline;text-decoration-color:#000000;">SIGNATURES</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt;">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 hereunto duly authorized.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:middle;width:61.17%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:middle;width:2.98%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:middle;width:1.51%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:middle;width:30.29%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:middle;width:4.02%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:top;width:61.17%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td colspan="4" style="vertical-align:top;width:38.82%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">AMERISERV FINANCIAL, INC.</p></td></tr><tr><td style="vertical-align:top;width:61.17%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:2.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td colspan="3" style="vertical-align:top;width:35.83%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;width:61.17%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Dated:&#160; August 30, 2021</p></td><td style="vertical-align:top;width:2.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">By:</p></td><td colspan="2" style="vertical-align:top;width:31.8%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">/s/ Jeffrey A. Stopko</p></td><td style="vertical-align:top;width:4.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:0pt;visibility:hidden;"><td colspan="5" style="padding:0pt;"></td></tr><tr><td style="vertical-align:top;width:61.17%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:2.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:1.51%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td colspan="2" style="vertical-align:top;width:34.31%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Jeffrey A. Stopko</p></td></tr><tr><td style="vertical-align:top;width:61.17%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:2.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:1.51%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">&#160;</p></td><td colspan="2" style="vertical-align:top;width:34.31%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">President and Chief Executive Officer</p></td></tr><tr><td style="vertical-align:middle;width:61.17%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:middle;width:2.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:middle;width:1.51%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:middle;width:30.29%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:middle;width:4.02%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;margin:0pt;">&#160;</p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-bottom:0pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="border-top-style:none;font-family:'Times New Roman','Times','serif';font-size:10pt;padding-top:0pt;margin:0pt;"><span style="font-size:12pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:12pt;visibility:hidden;">&#8203;</span></p></div></div>
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​
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
​
FORM
8-K
​
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported):
August 26, 2021
​
AMERISERV FINANCIAL, INC.
(Exact Name of Registrant as Specified in Charter)
​
​
​
​
​
​
​
Pennsylvania
0-11204
25-1424278
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(I.R.S. Employer
Identification No.)
​
​
​
​
Main & Franklin Streets
Johnstown
,
Pennsylvania
15901
(Address of Principal Executive Offices)
(Zip Code)
​
​
​
​
Registrant's Telephone Number, Including Area Code (
814
)
533-5300
​
​
​
​
N/A
​
​
​
​
​
​
(Former Name or Former Address, if Changed Since Last Report)
​
​
​
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
​
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
​
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
​
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
​
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
​
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
​
ASRV
​
The NASDAQ Stock Market LLC
8.45%
Beneficial Unsecured Securities
, Series A
(AmeriServ Financial Capital Trust I)
​
ASRVP
​
The NASDAQ Stock Market LLC
​
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
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. ☐
​
​
​
Item 1.01
Entry into a Material Definitive Agreement.
On August 26, 2021, AmeriServ Financial, Inc. (the "
Company
"), the holding company for AmeriServ Financial Bank and AmeriServ Trust and Financial Services Company, entered into Subordinated Note Purchase Agreements (the "
Agreements
") with certain institutional and accredited investors (collectively, the "
Purchasers
") and, pursuant to the Agreements, issued to the Purchasers $27.0 million in aggregate principal amount of its 3.75% Fixed-to-Floating Rate Subordinated Notes due 2031 (the "
Notes
"). The Notes were offered and sold in a private placement transaction in reliance on exemptions from registration provided by Section 4(a)(2) of the Securities Act of 1933, as amended, and Rule 506(b) of Regulation D thereunder.
​
The Company intends to use the net proceeds from the issuance and sale of the Notes for redemption of existing debt and general corporate purposes.  The Notes are intended to qualify at the holding company level as Tier 2 capital under the capital guidelines of the Board of Governors of the Federal Reserve System.
​
The Notes, which mature on September 1, 2031, bear interest at a fixed annual rate of 3.75% for the period from and including the issue date to but excluding September 1, 2026 (the "
Fixed Interest Rate Period
").  From and including September 1, 2026 until redemption or maturity (the "
Floating Interest Rate Period
"), the interest rate will adjust to a floating rate equal to the rate per annum, reset quarterly, equal to the then-current 90-day secured overnight financing rate (SOFR) plus 3.11%.  The Company will pay interest in arrears semi-annually during the Fixed Interest Rate Period and quarterly in arrears during the Floating Interest Rate Period.  The Notes constitute unsecured and subordinated obligations of the Company and rank junior in right of payment to any senior indebtedness and obligations to general and secured creditors.  Subject to limited exceptions, the Company cannot redeem the Notes before September 1, 2026.  The Agreements and Notes contain customary subordination provisions and events of default.
​
The foregoing description of the Agreements and the Notes does not purport to be complete and is qualified in its entirety by reference to the form of the Agreements and the form of Notes, which are filed as Exhibits 10.1 and 4.1, respectively, to this Current Report on Form 8-K and are incorporated into this Item 1.01 by reference.
Item 2.03
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
The discussion under Item 1.01 is incorporated by reference into this Item 2.03 of this Current Report on Form 8-K.
Item 7.01
Regulation FD Disclosure.
Attached hereto as Exhibit 99.1 and incorporated by reference herein into this Item 7.01 is an investor presentation that the Company delivered to potential investors on a confidential basis. As provided in General Instruction B.2 to Form 8-K, the information furnished in Item 7.01 and Exhibit 99.1 of this Current Report on Form 8-K shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, and such information shall not be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
Item 9.01
Financial Statements and Exhibits.
(d)
Exhibits:
​
​
​
4.1
Form of 3.75% Fixed-to-Floating Subordinated Note due 2031 of AmeriServ Financial, Inc. (included as Exhibit A to Exhibit 10.1 and incorporated herein by reference).
10.1
Form of Subordinated Note Purchase Agreement, dated as of August 26, 2021, by and between AmeriServ Financial, Inc. and several Purchasers.
99.1
Investor Presentation.
99.2
Press release, dated August 26, 2021.
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
​
​
​
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 hereunto duly authorized.
​
​
​
​
​
​
​
AMERISERV FINANCIAL, INC.
​
​
​
Dated:  August 30, 2021
By:
/s/ Jeffrey A. Stopko
​
​
​
Jeffrey A. Stopko
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President and Chief Executive Officer
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