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Ameriserv Financial Inc./PA – ‘10-K’ for 12/31/23 – ‘EX-97’

On:  Wednesday, 3/27/24, at 5:19pm ET   ·   For:  12/31/23   ·   Accession #:  1558370-24-4100   ·   File #:  0-11204

Previous ‘10-K’:  ‘10-K’ on 3/27/23 for 12/31/22   ·   Latest ‘10-K’:  This Filing   ·   10 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/27/24  Ameriserv Financial Inc./PA       10-K       12/31/23  153:33M                                    Toppan Merrill Bridge/FA

Annual Report   —   Form 10-K   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML   7.86M 
 2: EX-4.1      Instrument Defining the Rights of Security Holders  HTML     57K 
 3: EX-21.1     Subsidiaries List                                   HTML     43K 
 4: EX-23.1     Consent of Expert or Counsel                        HTML     40K 
 9: EX-97       Clawback Policy re: Recovery of Erroneously         HTML     61K 
                Awarded Compensation                                             
 5: EX-31.1     Certification -- §302 - SOA'02                      HTML     47K 
 6: EX-31.2     Certification -- §302 - SOA'02                      HTML     47K 
 7: EX-32.1     Certification -- §906 - SOA'02                      HTML     44K 
 8: EX-32.2     Certification -- §906 - SOA'02                      HTML     45K 
15: R1          Document And Entity Information                     HTML    112K 
16: R2          Consolidated Balance Sheets                         HTML    162K 
17: R3          Consolidated Balance Sheets (Parenthetical)         HTML     62K 
18: R4          Consolidated Statements of Operations               HTML    176K 
19: R5          Consolidated Statements of Comprehensive Income     HTML     84K 
                (Loss)                                                           
20: R6          Consolidated Statements of Changes in               HTML     75K 
                Shareholders' Equity                                             
21: R7          Consolidated Statements of Changes in               HTML     50K 
                Shareholders' Equity (Parenthetical)                             
22: R8          Consolidated Statements of Cash Flows               HTML    166K 
23: R9          Summary of Significant Accounting Policies          HTML    157K 
24: R10         Adoption of Accounting Standards                    HTML    137K 
25: R11         Revenue Recognition                                 HTML     76K 
26: R12         Cash and Due From Depository Institutions           HTML     44K 
27: R13         Investment Securities                               HTML    441K 
28: R14         Loans                                               HTML     93K 
29: R15         Allowance for Credit Losses - Loans                 HTML   1.13M 
30: R16         Premises and Equipment                              HTML     61K 
31: R17         Lease Commitments                                   HTML    130K 
32: R18         Deposits                                            HTML     75K 
33: R19         Short-Term Borrowings                               HTML     80K 
34: R20         Advances From Federal Home Loan Bank and            HTML     72K 
                Subordinated Debt                                                
35: R21         Disclosures About Fair Value Measurements           HTML    198K 
36: R22         Disclosures About Fair Value of Financial           HTML    131K 
                Instruments                                                      
37: R23         Income Taxes                                        HTML    126K 
38: R24         Employee Benefit Plans                              HTML    234K 
39: R25         Commitments and Contingent Liabilities              HTML     48K 
40: R26         Stock Compensation Plans                            HTML    101K 
41: R27         Accumulated Other Comprehensive Loss                HTML    205K 
42: R28         Intangible Assets                                   HTML     65K 
43: R29         Derivative Hedging Instruments                      HTML    118K 
44: R30         Segment Results                                     HTML    156K 
45: R31         Regulatory Capital                                  HTML    158K 
46: R32         Parent Company Financial Information                HTML    182K 
47: R33         Selected Quarterly Consolidated Financial Data      HTML    138K 
                (Unaudited)                                                      
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                (Policies)                                                       
49: R35         Summary of Significant Accounting Policies          HTML     87K 
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50: R36         Adoption of Accounting Standards (Tables)           HTML    123K 
51: R37         Revenue Recognition (Tables)                        HTML     67K 
52: R38         Investment Securities (Tables)                      HTML    441K 
53: R39         Loans (Tables)                                      HTML     91K 
54: R40         Allowance for Credit Losses - Loans (Tables)        HTML   1.12M 
55: R41         Premises and Equipment (Tables)                     HTML     60K 
56: R42         Lease Commitments (Tables)                          HTML    132K 
57: R43         Deposits (Tables)                                   HTML     74K 
58: R44         Short-Term Borrowings (Tables)                      HTML     80K 
59: R45         Advances From Federal Home Loan Bank and            HTML     68K 
                Subordinated Debt (Tables)                                       
60: R46         Disclosures About Fair Value Measurements (Tables)  HTML    196K 
61: R47         Disclosures About Fair Value of Financial           HTML    129K 
                Instruments (Tables)                                             
62: R48         Income Taxes (Tables)                               HTML    127K 
63: R49         Employee Benefit Plans (Tables)                     HTML    237K 
64: R50         Stock Compensation Plans (Tables)                   HTML     99K 
65: R51         Accumulated Other Comprehensive Loss (Tables)       HTML    207K 
66: R52         Intangible Assets (Tables)                          HTML     65K 
67: R53         Derivative Hedging Instruments (Tables)             HTML    110K 
68: R54         Segment Results (Tables)                            HTML    150K 
69: R55         Regulatory Capital (Tables)                         HTML    154K 
70: R56         Parent Company Financial Information (Tables)       HTML    184K 
71: R57         Selected Quarterly Consolidated Financial Data      HTML    138K 
                (Unaudited) (Tables)                                             
72: R58         SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES -        HTML    163K 
                Additional information (Details)                                 
73: R59         SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES -        HTML     79K 
                Computation of diluted earnings per common share                 
                (Details)                                                        
74: R60         SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES -        HTML     67K 
                Non-cash assets acquired and Liabilities Assumed                 
                (Details)                                                        
75: R61         Adoption of Accounting Standards (Details)          HTML     90K 
76: R62         Adoption of Accounting Standards - Current          HTML    167K 
                Expected Credit Loss Model (Details)                             
77: R63         Revenue Recognition (Details)                       HTML     57K 
78: R64         Revenue Recognition - Additional information        HTML     44K 
                (Details)                                                        
79: R65         Cash and Due From Depository Institutions           HTML     46K 
                (Details)                                                        
80: R66         INVESTMENT SECURITIES - Cost basis and fair values  HTML     91K 
                of investment securities (Details)                               
81: R67         INVESTMENT SECURITIES - Total investment            HTML    132K 
                securities (Details)                                             
82: R68         INVESTMENT SECURITIES - Information concerning      HTML     71K 
                investments with unrealized losses (Details)                     
83: R69         INVESTMENT SECURITIES - Allowance for credit        HTML     63K 
                losses on held to maturity debt securities by                    
                major security type (Details)                                    
84: R70         INVESTMENT SECURITIES - Amortized cost of held to   HTML     67K 
                maturity debt securities (Details)                               
85: R71         INVESTMENT SECURITIES - Additional information      HTML    197K 
                (Details)                                                        
86: R72         LOANS - Loan Portfolio (Details)                    HTML     90K 
87: R73         LOANS - Additional information (Details)            HTML     49K 
88: R74         LOANS - Summary of loan activity with related       HTML     48K 
                parties (Details)                                                
89: R75         ALLOWANCE FOR CREDIT LOSSES - LOANS - Allowance     HTML    133K 
                for credit losses by loan portfolio segment                      
                (Details)                                                        
90: R76         ALLOWANCE FOR CREDIT LOSSES - LOANS - Loan          HTML    128K 
                portfolio and allowance for credit losses                        
                (Details)                                                        
91: R77         ALLOWANCE FOR CREDIT LOSSES - LOANS - Amortized     HTML     78K 
                cost basis of collateral-dependent loans (Details)               
92: R78         ALLOWANCE FOR CREDIT LOSSES - LOANS -               HTML     94K 
                Non-Performing Assets (Details)                                  
93: R79         ALLOWANCE FOR CREDIT LOSSES - LOANS - Commercial    HTML    238K 
                and commercial real estate loan portfolios                       
                (Details)                                                        
94: R80         ALLOWANCE FOR CREDIT LOSSES - LOANS - Residential   HTML    139K 
                and consumer portfolio (Details)                                 
95: R81         ALLOWANCE FOR CREDIT LOSSES - LOANS - Aging         HTML    155K 
                categories of performing loans and non-accrual                   
                loans (Details)                                                  
96: R82         ALLOWANCE FOR CREDIT LOSSES - LOANS - Loan          HTML     80K 
                modifications to borrowers experiencing financial                
                difficulty (Details)                                             
97: R83         ALLOWANCE FOR CREDIT LOSSES - LOANS - Loan          HTML     53K 
                modified as a TDR (Details)                                      
98: R84         ALLOWANCE FOR CREDIT LOSSES - LOANS - Additional    HTML    167K 
                information (Details)                                            
99: R85         Premises and Equipment (Details)                    HTML     57K 
100: R86         Premises and Equipment - Additional information     HTML     48K  
                (Details)                                                        
101: R87         LEASE COMMITMENTS - Lease Cost (Details)            HTML     50K  
102: R88         LEASE COMMITMENTS - Leases outstanding (Details)    HTML     50K  
103: R89         LEASE COMMITMENTS - Operating and financing leases  HTML     80K  
                - (Details)                                                      
104: R90         LEASE COMMITMENTS - Additional information          HTML     51K  
                (Details)                                                        
105: R91         Deposits (Details)                                  HTML     53K  
106: R92         Deposits - Maturity of time deposits (Details)      HTML     55K  
107: R93         DEPOSITS - Additional information (Details)         HTML     44K  
108: R94         Short-Term Borrowings (Details)                     HTML     57K  
109: R95         Advances From Federal Home Loan Bank and            HTML     72K  
                Subordinated Debt (Details)                                      
110: R96         Advances From Federal Home Loan Bank and            HTML     75K  
                Subordinated Debt (Details)                                      
111: R97         DISCLOSURES ABOUT FAIR VALUE MEASUREMENTS -         HTML    103K  
                Schedule of assets and liability measured and                    
                recorded on the Consolidated Balance Sheets                      
                (Details)                                                        
112: R98         DISCLOSURES ABOUT FAIR VALUE MEASUREMENTS -         HTML     96K  
                Schedule of assets measured and recorded at fair                 
                value on a non-recurring basis (Details)                         
113: R99         DISCLOSURES ABOUT FAIR VALUE OF FINANCIAL           HTML     74K  
                INSTRUMENTS - Schedule of estimated fair value and               
                recorded carrying value (Details)                                
114: R100        Income Taxes (Details)                              HTML     52K  
115: R101        Income Taxes - Reconciliation (Details)             HTML     67K  
116: R102        INCOME TAXES - Deferred tax assets and liabilities  HTML     79K  
                (Details)                                                        
117: R103        EMPLOYEE BENEFIT PLANS - Changes in obligations     HTML     78K  
                and assets (Details)                                             
118: R104        EMPLOYEE BENEFIT PLANS - Amounts not recognized as  HTML     47K  
                components of net periodic pension cost (Details)                
119: R105        EMPLOYEE BENEFIT PLANS - Accumulated benefit        HTML     44K  
                obligation (Details)                                             
120: R106        EMPLOYEE BENEFIT PLANS - Weighted-average           HTML     53K  
                assumptions used to determine benefit obligations                
                (Details)                                                        
121: R107        EMPLOYEE BENEFIT PLANS - Component of net periodic  HTML     60K  
                benefit cost (Details)                                           
122: R108        EMPLOYEE BENEFIT PLANS - Changes in plan assets     HTML     52K  
                and benefit obligations (Details)                                
123: R109        EMPLOYEE BENEFIT PLANS - Weighted-average           HTML     58K  
                assumptions used to determine net periodic benefit               
                cost (Details)                                                   
124: R110        EMPLOYEE BENEFIT PLANS - Asset allocation           HTML     52K  
                (Details)                                                        
125: R111        EMPLOYEE BENEFIT PLANS - Segregation of assets by   HTML     57K  
                the level of valuations inputs (Details)                         
126: R112        EMPLOYEE BENEFIT PLANS - Additional information     HTML    122K  
                (Details)                                                        
127: R113        EMPLOYEE BENEFIT PLANS - Estimated future benefit   HTML     54K  
                payments (Details)                                               
128: R114        Commitments and Contingent Liabilities (Details)    HTML     61K  
129: R115        Stock Compensation Plans (Details)                  HTML     71K  
130: R116        Stock Compensation Plans - Pricing model            HTML     55K  
                assumption ranges (Details)                                      
131: R117        STOCK COMPENSATION PLANS - Additional information   HTML     86K  
                (Details)                                                        
132: R118        Accumulated Other Comprehensive Loss (Details)      HTML     68K  
133: R119        Accumulated Other Comprehensive Loss -              HTML     88K  
                Reclassification of component (Details)                          
134: R120        Intangible Assets (Details)                         HTML     63K  
135: R121        Intangible Assets - Amortization of intangible      HTML     49K  
                (Details)                                                        
136: R122        INTANGIBLE ASSETS - Future Amortization (Details)   HTML     59K  
137: R123        Derivative Hedging Instruments (Details)            HTML     59K  
138: R124        Derivative Hedging Instruments - Additional         HTML     57K  
                Information (Details)                                            
139: R125        DERIVATIVE HEDGING INSTRUMENTS - Cash Flow Hedge    HTML     53K  
                (Details)                                                        
140: R126        Segment Results (Details)                           HTML    106K  
141: R127        Regulatory Capital (Details)                        HTML     79K  
142: R128        Parent Company Financial Information - Balance      HTML    103K  
                Sheets (Details)                                                 
143: R129        Parent Company Financial Information - Statements   HTML    115K  
                of Operations (Details)                                          
144: R130        Parent Company Financial Information - Statements   HTML    121K  
                of Cash Flows (Details)                                          
145: R131        PARENT COMPANY FINANCIAL INFORMATION - Additional   HTML     42K  
                information (Details)                                            
146: R132        Selected Quarterly Consolidated Financial Data      HTML     99K  
                (Unaudited) (Details)                                            
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148: R134        Insider Trading Arrangements                        HTML     47K  
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‘EX-97’   —   Clawback Policy re: Recovery of Erroneously Awarded Compensation


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



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EXHIBIT 97

AMERISERV FINANCIAL, INC & SUBSIDIARIES

COMPENSATION RECOVERY/CLAWBACK POLICY

Board Adopted/Approved: November 16, 2023

Effective Date: December 1, 2023

1.Purpose

AmeriServ Financial, Inc. with its subsidiaries (herein called AmeriServ) is committed to promoting high standards of honest and ethical business conduct in compliance with ethical laws, rules and regulations. As part of this commitment, AmeriServ has adopted this Compensation Recovery/Clawback Policy (Policy). This Policy is designed to comply with Section 10D of the Securities Exchange Act of 1934, as amended (Exchange Act) and explains when AmeriServ will be required to seek recovery of Incentive Compensation awarded or paid to a Covered Person. Please refer to Exhibit A for the definitions of terms used throughout this Policy.

2.Miscalculation of Financial Reporting Measure Results

In the event of a Restatement, AmeriServ will seek to promptly recover all Recoverable Incentive Compensation from a Covered Person. Such recover, in the case of Restatement, will be made without regard to any individual knowledge or responsibility related to the Restatement. Notwithstanding the foregoing, if AmeriServ is required to undertake a Restatement, AmeriServ will not be required to recover the Recoverable Incentive Compensation if the Compensation Committee determines it is impractical to do so, after exercising a normal due process review of all the relevant facts and circumstances.

If such Recoverable Incentive Compensation was not awarded or paid on a formulaic basis, the Company will seek to recover the amount that the Compensation Committee determines in good faith should be recouped.

3.Other Actions

The Compensation Committee, may, subject to applicable law, seek recovery in the manner it chooses, including by seeking reimbursement from the Covered Person of all or part of the compensation awarded or paid, by electing to withhold unpaid compensation, by off-set, or by rescinding or cancelling unvested stock if applicable.

In the reasonable exercise of its business judgment under this Policy, the Compensation Committee may in its sole discretion determine whether and to what extent additional action is appropriate to address the circumstances surrounding a Restatement to minimize the likelihood of any recurrence and to impose such other discipline as it deems appropriate.

4.No Indemnification or Reimbursement

Notwithstanding the terms of any other policy, program, agreement or arrangement, in no event will AmeriServ or any of its affiliates indemnify or reimburse a Covered Person for any loss under this Policy and in no event will AmeriServ or any of its affiliates pay premiums on any insurance policy that would cover a Covered Person’s potential obligations with respect to Recoverable Incentive Compensation under this Policy.

5.Administration of Policy

The Compensation Committee will have full authority to administer this Policy. The Compensation Committee will, subject to the provisions of this Policy and Rule 10D-1 of the Exchange Act, and the AmeriServ’s applicable exchange listing standards, make such determinations and interpretations and take such actions in connection with this Policy as it deems necessary, appropriate or advisable. All determinations and interpretations made by the Compensation Committee will be final, binding and conclusive.


6.Other Claims and Rights

The remedies under this Policy are in addition to, and not in lieu of, any legal and equitable claims the Company or any of its affiliates may have or any actions that may be imposed by law enforcement, agencies, regulators, administrative bodies, or other authorities. Further, the exercise by the Compensation Committee of any rights pursuant to this Policy will not impact any other rights that AmeriServ or any of its affiliates may have with respect to any Covered Person subject to this Policy.

7.Acknowledgement by Covered Persons; Condition to Eligibility for Incentive Compensation

AmeriServ will provide notice and seek acknowledgement of this Policy from each Covered Person, provided that the failure to provide such notice or obtain such acknowledgement will have no impact on the applicability or enforceability of this Policy. After the Effective Date, AmeriServ must be in receipt of a Covered Person’s acknowledgement as a condition to such Covered Person’s eligibility to receive Incentive Compensation. All Incentive Compensation subject to this Policy will not be earned, even already paid, until the Policy ceases to apply to such Incentive Compensation and any other vesting conditions applicable to such Incentive Compensation are satisfied.

8.Amendment; Termination

The Board or the Compensation Committee may amend or terminate this Policy at any time.

9.Effectiveness

Except as otherwise determined in writing by the Compensation Committee, this Policy will apply to any Incentive Compensation that is received by a Covered Person on or after the effective date. This Policy will survive and continue notwithstanding any termination of a Covered Person’s employment with AmeriServ and its affiliates.

10.Successors

This Policy shall be binding and enforceable against all Covered Persons and their successors, beneficiaries, heirs, executors, administrators or other legal representatives.

AMERISERV RECOVERY CLAWBACK POLICY DEFINITIONS

Applicable Period” means the three completed fiscal years of the Company immediately preceding the earlier of (i) the date the Board, a committee of the Board, or the officer or officers of the Company authorized to take such action if Board action is not required, concludes (or reasonably should have concluded) that a Restatement is required or (ii) the date a court, regulator, or other legally authorized body directs the Company to prepare a Restatement. The “Applicable Period” also includes any transition period (that results from a change in the Company’s fiscal year) within or immediately following the three completed fiscal years identified in the preceding sentence.

Board” means the Board of Directors of the Company.

Compensation Committee” means the Company’s committee of independent directors responsible for executive compensation decisions, or in the absence of such a committee, a majority of the independent directors serving on the Board.

Covered Person” means any person who is, or was at any time, during the Applicable Period, an Executive Officer of the Company. For the avoidance of doubt, a Covered Person may include a former Executive Officer that left the Company, retired, or transitioned to an employee role (including after serving as an Executive Officer in an interim capacity) during the Applicable Period.

"Effective Date" December 1, 2023

Executive Officer” means the Company’s president, principal executive officer, principal financial officer, principal accounting officer (or if there is no such accounting officer, the controller), any vice-president in charge of a principal business unit, division, or function (such as sales, administration, or finance), any other officer who performs a policy-making function, or any other person (including an officer of the Company’s parent(s) or subsidiaries) who performs similar policy-making functions for the Company.

Financial Reporting Measure” means a measure that is determined and presented in accordance with the accounting principles used in preparing the Company’s financial statements (including but not limited to, “non-GAAP” financial measures, such as those appearing in the Company’s earnings releases or Management Discussion and Analysis), and


any measure that is derived wholly or in part from such measure. Stock price and total shareholder return (and any measures derived wholly or in part therefrom) shall be considered Financial Reporting Measures.

Impracticable.” The Compensation Committee may determine in good faith that recovery of Recoverable Incentive Compensation is “Impracticable” if: (i) pursuing such recovery would violate home country law of the jurisdiction of incorporation of the Company where that law was adopted prior to November 28, 2022 and the Company provides an opinion of home country counsel to that effect acceptable to the Company’s applicable listing exchange; (ii) the direct expense paid to a third party to assist in enforcing this Policy would exceed the Recoverable Incentive Compensation and the Company has (A) made a reasonable attempt to recover such amounts and (B) provided documentation of such attempts to recover to the Company’s applicable listing exchange; or (iii) recovery would likely cause an otherwise tax-qualified retirement plan, under which benefits are broadly available to employees of the Company, to fail to meet the requirements of Section 401(a)(13) or Section 411(a) of the Internal Revenue Code of 1986, as amended.

Incentive Compensation” means any compensation that is granted, earned, or vested based wholly or in part upon the attainment of a Financial Reporting Measure. Incentive Compensation does not include any base salaries (except with respect to any salary increases earned wholly or in part based on the attainment of a Financial Reporting Measure performance goal); bonuses paid solely at the discretion of the Compensation Committee or Board that are not paid from a “bonus pool” that is determined by satisfying a Financial Reporting Measure performance goal; bonuses paid solely upon satisfying one or more subjective standards and/or completion of a specified employment period; non-equity incentive plan awards earned solely upon satisfying one or more strategic measures or operational measures; and equity awards that vest solely based on the passage of time and/or attaining one or more non-Financial Reporting Measures.

Received.” Incentive Compensation is deemed “Received” in the Company’s fiscal period during which the Financial Reporting Measure specified in the Incentive Compensation award is attained, even if the payment or grant of the Incentive Compensation occurs after the end of that period.

Recoverable Incentive Compensation” means the amount of any Incentive Compensation (calculated on a pre-tax basis) Received by a Covered Person during the Applicable Period that is in excess of the amount that otherwise would have been Received if the calculation were based on the Restatement. For the avoidance of doubt Recoverable Incentive Compensation does not include any Incentive Compensation Received by a person (i) before such person began service in a position or capacity meeting the definition of an Executive Officer, (ii) who did not serve as an Executive Officer at any time during the performance period for that Incentive Compensation, or (iii) during any period the Company did not have a class of its securities listed on a national securities exchange or a national securities association. For Incentive Compensation based on (or derived from) stock price or total shareholder return where the amount of Recoverable Incentive Compensation is not subject to mathematical recalculation directly from the information in the applicable Restatement, the amount will be determined by the Compensation Committee based on a reasonable estimate of the effect of the Restatement on the stock price or total shareholder return upon which the Incentive Compensation was Received (in which case, the Company will maintain documentation of such determination of that reasonable estimate and provide such documentation to the Company’s applicable listing exchange).

Restatement” means an accounting restatement of any of the Company’s financial statements filed with the Securities and Exchange Commission under the Exchange Act, or the Securities Act of 1933, as amended, due to the Company’s material noncompliance with any financial reporting requirement under U.S. securities laws, regardless of whether the Company or Covered Person misconduct was the cause for such restatement. “Restatement” includes any required accounting restatement to correct an error in previously issued financial statements that is material to the previously issued financial statements (commonly referred to as “Big R” restatements), or that would result in a material misstatement if the error were corrected in the current period or left uncorrected in the current period (commonly referred to as “little r” restatements).


ATTESTATION AND ACKNOWLEDGEMENT OF POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION

By my signature below, I acknowledge and agree that:

I have received and read the attached Policy for the Recovery Clawback Policy.
I hereby agree to abide by the terms of this Policy both during and after my employment with AmeriServ and its affiliates, including without limitation, by promptly paying or returning any erroneously awarded compensation by the Company as determined in accordance with this Policy.

Signature __________________________________

Printed Name _______________________________

Date _______________________________________



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:3/27/24DFAN14A
For Period end:12/31/23
12/1/234
11/16/23
11/28/224
 List all Filings 


2 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/22/24  Ameriserv Financial Inc./PA       DEFA14A                1:145K                                   Toppan Merrill/FA
 4/22/24  Ameriserv Financial Inc./PA       8-K:1,8,9   4/18/24   12:343K                                   Toppan Merrill/FA


8 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/29/23  Ameriserv Financial Inc./PA       8-K:5,9     8/28/23   11:360K                                   Toppan Merrill/FA
 3/23/21  Ameriserv Financial Inc./PA       DEF 14A     4/27/21    1:1.2M                                   Toppan Merrill/FA
 4/06/20  Ameriserv Financial Inc./PA       8-K:5,8,9   4/06/20    1:98K
 2/24/16  Ameriserv Financial Inc./PA       8-K:5,9     2/19/16    1:50K
 4/28/15  Ameriserv Financial Inc./PA       8-K:5,9     4/28/15    2:117K
10/21/14  Ameriserv Financial Inc./PA       8-K:5      10/21/14    1:91K
 9/16/11  Ameriserv Financial Inc./PA       S-8         9/16/11    5:185K
 3/21/11  Ameriserv Financial Inc./PA       DEF 14A     4/26/11    1:737K                                   Donnelley … Solutions/FA
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