SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 10-Q/A

(Amendment No. 1)

(Mark one) 

x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2012

 

OR

 

¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

 Commission File No. 000-30066

 

THE EDELMAN FINANCIAL GROUP INC.

 (Exact name of registrant as specified in its charter)

 

Texas 76-0583569
(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification No.)

 

600 Travis, Suite 5800  
Houston, Texas 77002
(Address of principal executive offices) (Zip Code)

 

(713) 224-3100

(Registrant’s telephone number, including area code)

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the

past 90 days.

x Yes ¨ No

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).

x Yes ¨ No

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer ¨ Accelerated filer x
   
Non-accelerated filer ¨ Smaller reporting company ¨

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

¨ Yes x No

 

As of August 3, 2012, the registrant had 29,074,560 outstanding shares of common stock, par value $0.01 per share.

 

 

 

 
 

 

EXPLANATORY NOTE 

 

The Edelman Financial Group Inc. (the "Company" or "we," "our" or "us") is filing this Amendment No. 1 (this "Amendment No. 1") to its Quarterly Report on Form 10-Q for the quarter ended June 30, 2012 (the “Form 10-Q”), originally filed with the Securities and Exchange Commission on August 9, 2012 (the "Original Filing Date") to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Pursuant to Rule 405(a) (2)(ii) of Regulation S-T, the Company is permitted to furnish Exhibit 101 by amendment to the Form 10-Q within 30 days of the original filing date of the Form 10-Q. Exhibit 101 consists of the following materials from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language):

 

101.INS   XBRL Instance Document
101.SCH   XBRL Taxonomy Schema
101.CAL   XBRL Taxonomy Calculation Linkbase
101.DEF   XBRL Taxonomy Definition Linkbase
101.LAB   XBRL Taxonomy Label Linkbase
101.PRE   XBRL Taxonomy Presentation Linkbase

 

No other changes have been made to the Form 10-Q. This Amendment speaks as of the Original Filing Date, does not reflect events that may have occurred subsequent to the Original Filing Date, and does not modify or update in any way disclosures made in the Form 10-Q.

 

Pursuant to Rule 406T of Regulation S-T, the interactive data files attached as Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.

 

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Item 6. Exhibits

 

INDEX TO EXHIBITS 

 

Exhibit    
Number   Description
     
*31.1   Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer (included as exhibit 31.1 to the Quarterly Report on Form 10-Q for the Quarter ended June 30, 2012, filed August 9, 2012, and incorporated herein by reference).
*31.2   Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer (included as exhibit 31.2 to the Quarterly Report on Form 10-Q for the Quarter ended June 30, 2012, filed August 9, 2012, and incorporated herein by reference).
32.1   Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (included  as exhibit 31.1 to the Quarterly Report on Form 10-Q for the Quarter ended June 30, 2012, filed August 9, 2012,  and incorporated herein by reference).
32.2   Certification Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (included as exhibit 31.2 to the Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed August 9, 2012, and incorporated herein by reference).
*101.INS   XBRL Instance Document
*101.SCH   XBRL Taxonomy Extension Schema
*101.CAL   XBRL Taxonomy Extension Calculation Linkbase
*101.DEF   XBRL Taxonomy Extension Definition Linkbase
*101.LAB   XBRL Taxonomy Extension Label Linkbase

  

 

*Filed herewith.

 

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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, thereunto duly authorized.

 

  THE EDELMAN FINANCIAL GROUP INC.
     
  By: /s/ FREDRIC M. EDELMAN
    Fredric M. Edelman
    Chief Executive Officer
     
  By: /s/ RICK BERRY
    Rick Berry
    Chief Financial Officer
     
Date: August 16, 2012    

 

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