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Roman','Times','serif';font-size:8pt;text-align:center;margin:0pt;">&#160;&#160;&#160;&#160;</p></td><td style="vertical-align:bottom;width:36.01%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;text-align:center;margin:0pt;">Name of Each Exchange On Which Registered</p></td></tr><tr style="height:15.5pt;"><td style="vertical-align:bottom;width:38.85%;border-top:1px solid #000000;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_1_19_2023_To_1_19_2023_Rb969C3un0KJBsxiMRgp3Q" name="dei:Security12bTitle" id="Tc_0lDhSHVb2UGPcyTiT6fiTg_1_0"><span style="font-size:8pt;">Common Stock</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:3.88%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:17.36%;border-top:1px solid #000000;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_1_19_2023_To_1_19_2023_Rb969C3un0KJBsxiMRgp3Q" name="dei:TradingSymbol" id="Tc_WLkZMmh9TEO4lYywEO1Xqg_1_2"><span style="font-size:8pt;">ASRV</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:3.88%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:36.01%;border-top:1px solid #000000;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_1_19_2023_To_1_19_2023_Rb969C3un0KJBsxiMRgp3Q" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="Tc_Fn6XDllFYUGlwL4IEfMbKA_1_4"><span style="font-size:8pt;">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:10pt;text-align:justify;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 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter).</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;">Emerging growth company <ix:nonNumeric contextRef="Duration_1_19_2023_To_1_19_2023_Rb969C3un0KJBsxiMRgp3Q" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="Narr_iDNIWVY920Scvb4_QNM6Cw"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin: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. <span style="font-family:'Segoe UI Symbol';">&#9744;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="font-size:2pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-bottom:1pt;padding-top:1pt;text-align:justify;border-bottom:3.0pt solid #000000;border-top:1.0pt solid #000000;margin:0pt;"><span style="font-size:1pt;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="_9829d363_96b4_451c_8938_c9d7b4909609"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">Form 8-K</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="display:inline-block;text-align:left;text-indent:0pt;width:72pt;"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;">Item 8.01</span></span>Other events.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:justify;margin:0pt 3.8pt 0pt 0pt;"><span style="color:#333333;background:#ffffff;">On January 17, 2023, Driver Opportunity Partners I LP (&#8220;Driver&#8221;) submitted to AmeriServ Financial, Inc. (the &quot;Company&quot;) a purported notice (the &#8220;Notice&#8221;) seeking to nominate three candidates to stand for election to the Company&#8217;s Board of Directors (the &#8220;Board&#8221;) at the Company&#8217;s 2023 annual meeting of shareholders (the &#8220;2023 Annual Meeting&#8221;). The Board is reviewing the Notice in order to determine its compliance with applicable requirements for making director nominations that are set forth in the Company&#8217;s articles of incorporation, as amended, and amended and restated bylaws. On January 19, 2023, the Company sent a letter (the &#8220;Letter&#8221;) to Driver regarding the Notice. A copy of the Letter is filed with this Current Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt 3.8pt 0pt 0pt;"><span style="font-size:9pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;margin:0pt 54pt 0pt 0pt;"><b style="font-weight:bold;">Important Additional Information</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:justify;margin:0pt 3.8pt 0pt 0pt;">The Company intends to file a proxy statement and proxy card with the Securities and Exchange Commission (the &#8220;SEC&#8221;) in connection with the Company&#8217;s 2023 annual meeting of shareholders (the &#8220;2023 Annual Meeting&#8221;) and, in connection therewith, the Company, certain of its directors and executive officers will be participants in the solicitation of proxies from the Company&#8217;s shareholders in connection with such meeting. SHAREHOLDERS OF THE COMPANY ARE STRONGLY ENCOURAGED TO READ SUCH PROXY STATEMENT, ACCOMPANYING PROXY CARD AND ALL OTHER DOCUMENTS FILED WITH THE SEC CAREFULLY AND IN THEIR ENTIRETY WHEN THEY BECOME AVAILABLE AS THEY WILL CONTAIN IMPORTANT INFORMATION ABOUT THE 2023 ANNUAL MEETING. The Company&#8217;s definitive proxy statement for the 2022 annual meeting of shareholders contains information regarding the direct and indirect interests, by security holdings or otherwise, of the Company&#8217;s directors and executive officers in the Company&#8217;s securities. Information regarding subsequent changes to their holdings of the Company&#8217;s securities can be found in the SEC filings on Forms 3, 4, and 5, which are available on the Company&#8217;s website at http://investors.ameriserv.com/sec-filings/insider-filings or through the SEC&#8217;s website at www.sec.gov. Information can also be found in the Company&#8217;s Annual Report on Form 10-K for the year ended December 31, 2021 on file with the SEC. Updated information regarding the identity of potential participants, and their direct or indirect interests, by security holdings or otherwise, will be set forth in the definitive proxy statement and other materials to be filed with the SEC in connection with the 2023 Annual Meeting. Shareholders will be able to obtain the definitive proxy statement, any amendments or supplements to the proxy statement and other documents filed by the Company with the SEC at no charge at the SEC&#8217;s website at www.sec.gov. Copies will also be available at no charge at the Company&#8217;s website at http://investors.ameriserv.com/sec-filings/documents.&#160;</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_cbec29cc_c32d_42cc_9766_ef939bad4ca6"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="display:inline-block;text-align:left;text-indent:0pt;width:72pt;"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;">Item 9.01</span></span>Financial Statements and Exhibits.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:justify;margin:0pt 59.6pt 0pt 0pt;">(d) Exhibits:</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt 59.6pt 0pt 0pt;"><span style="font-size:12pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:justify;margin:0pt 59.6pt 0pt 0pt;"><span style="display:inline-block;text-align:left;text-indent:0pt;width:36pt;"><span style="font-family:'Times New Roman','Times','serif';font-size:9pt;font-style:normal;font-weight:normal;">99.1</span></span><a style="-sec-extract:exhibit;font-family:&quot;'Times New Roman','Times','serif'&quot;;" href="tmb-20230119xex99d1.htm"><span style="font-family:'Times New Roman','Times','serif';font-style:normal;font-weight:normal;">Letter dated January 19, 2023 of AmeriServ Financial, Inc.</span></a></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:justify;margin:0pt 59.6pt 0pt 0pt;"><span style="display:inline-block;text-align:left;text-indent:0pt;width:36pt;"><span style="font-family:'Times New Roman','Times','serif';font-size:9pt;font-style:normal;font-weight:normal;">104</span></span>Cover Page Interactive Data File (embedded within the Inline XBRL document).</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;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-align:justify;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-align:justify;text-indent:36pt;margin:0pt 3.8pt 0pt 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 0pt 0pt 5.65pt;"><span style="margin-left:0pt;visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;font-size:16pt;height:max-content;width:100%;"><tr style="height:1pt;"><td style="vertical-align:top;width:50.53%;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:4.63%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><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:44.82%;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:50.53%;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="2" style="vertical-align:top;width:49.46%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><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:50.53%;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:4.63%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><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:44.82%;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:50.53%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Date: January 19, 2023</p></td><td style="vertical-align:top;width:4.63%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">By</p></td><td style="vertical-align:top;width:44.82%;border-bottom:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">/s/Michael D. Lynch</p></td></tr><tr><td style="vertical-align:top;width:50.53%;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:4.63%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><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:44.82%;border-top:1.0pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Michael D. Lynch</p></td></tr><tr><td style="vertical-align:top;width:50.53%;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:4.63%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><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:44.82%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">EVP &amp; CFO</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>
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​
​
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  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)
January 19, 2023
​
AMERISERV FINANCIAL, Inc.
(exact name of registrant as specified in its charter)
​
​
​
​
​
​
Pennsylvania
​
0-11204
​
25-1424278
(State or other jurisdiction
​
(Commission
​
(IRS Employer
of incorporation)
​
File Number)
​
Identification No.)
​
​
​
​
Main and Franklin Streets
,
Johnstown
,
PA
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
​
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter).
​
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.
☐
​
​
Form 8-K
​
Item 8.01
Other events.
​
On January 17, 2023, Driver Opportunity Partners I LP ("Driver") submitted to AmeriServ Financial, Inc. (the "Company") a purported notice (the "Notice") seeking to nominate three candidates to stand for election to the Company's Board of Directors (the "Board") at the Company's 2023 annual meeting of shareholders (the "2023 Annual Meeting"). The Board is reviewing the Notice in order to determine its compliance with applicable requirements for making director nominations that are set forth in the Company's articles of incorporation, as amended, and amended and restated bylaws. On January 19, 2023, the Company sent a letter (the "Letter") to Driver regarding the Notice. A copy of the Letter is filed with this Current Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.
​
Important Additional Information
The Company intends to file a proxy statement and proxy card with the Securities and Exchange Commission (the "SEC") in connection with the Company's 2023 annual meeting of shareholders (the "2023 Annual Meeting") and, in connection therewith, the Company, certain of its directors and executive officers will be participants in the solicitation of proxies from the Company's shareholders in connection with such meeting. SHAREHOLDERS OF THE COMPANY ARE STRONGLY ENCOURAGED TO READ SUCH PROXY STATEMENT, ACCOMPANYING PROXY CARD AND ALL OTHER DOCUMENTS FILED WITH THE SEC CAREFULLY AND IN THEIR ENTIRETY WHEN THEY BECOME AVAILABLE AS THEY WILL CONTAIN IMPORTANT INFORMATION ABOUT THE 2023 ANNUAL MEETING. The Company's definitive proxy statement for the 2022 annual meeting of shareholders contains information regarding the direct and indirect interests, by security holdings or otherwise, of the Company's directors and executive officers in the Company's securities. Information regarding subsequent changes to their holdings of the Company's securities can be found in the SEC filings on Forms 3, 4, and 5, which are available on the Company's website at http://investors.ameriserv.com/sec-filings/insider-filings or through the SEC's website at www.sec.gov. Information can also be found in the Company's Annual Report on Form 10-K for the year ended December 31, 2021 on file with the SEC. Updated information regarding the identity of potential participants, and their direct or indirect interests, by security holdings or otherwise, will be set forth in the definitive proxy statement and other materials to be filed with the SEC in connection with the 2023 Annual Meeting. Shareholders will be able to obtain the definitive proxy statement, any amendments or supplements to the proxy statement and other documents filed by the Company with the SEC at no charge at the SEC's website at www.sec.gov. Copies will also be available at no charge at the Company's website at http://investors.ameriserv.com/sec-filings/documents.
​
​
Item 9.01
Financial Statements and Exhibits.
​
(d) Exhibits:
​
99.1
Letter dated January 19, 2023 of AmeriServ Financial, Inc.
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
​
​
​
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.
​
​
​
Date: January 19, 2023
By
/s/Michael D. Lynch
​
​
Michael D. Lynch
​
​
EVP & CFO
​
​
​