10-Q/A
Goosehead Insurance, Inc. (GSHD)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
| (Mark One) | |
|---|---|
| ☒ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended September 30, 2022
OR
| ☐ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
|---|
For the transition period from _______ to ______
Commission file number: 001-38466
GOOSEHEAD INSURANCE, INC.
(Exact name of registrant as specified in its charter)
| Delaware | 82-3886022 |
|---|---|
| (State or other jurisdiction of<br>incorporation or organization) | (IRS Employer<br>Identification No.) |
| 1500 Solana Blvd, Building 4, Suite 4500<br>Westlake<br><br>Texas | 76262 |
| (Address of principal executive offices) | (Zip Code) |
(469) 480-3669
(Registrant's telephone number, including area code)
Not applicable
(Former name or former address, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
| Title of Each Class | Trading Symbol(s) | Name of Each Exchange on Which Registered |
|---|---|---|
| Class A Common Stock, par value $.01 per share | GSHD | NASDAQ |
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. ☒ Yes ☐ No
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).
☒ Yes ☐ No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
| Large Accelerated Filer | ☒ | Accelerated filer | ☐ |
|---|---|---|---|
| Non-accelerated filer | ☐ | Smaller reporting company | ☐ |
| 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. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). ☐ Yes ☒ No
As of October 26, 2022, there were 21,147,289 shares of Class A common stock outstanding and 16,201,948 shares of Class B common stock
outstanding.
EXPLANATORY NOTE
The purpose of this Amendment (the “Amendment”) to our Form 10-Q for the quarter ended September 30, 2022 (the “Original Form 10-Q”), as filed with the Securities and Exchange Commission (the “SEC”) on October 27, 2022, is solely to amend Exhibit 32 to reflect that Mark E. Jones, Jr. was the Chief Financial Officer at the time of filing of the Original Form 10-Q.
This Amendment contains only the Cover Page, this Explanatory Note, Item 6 of Part II, the Signature Page and the certifications attached to this Amendment as Exhibit 32. No other changes have been made to the Original Form 10-Q as filed with the SEC on October 27, 2022. This Amendment speaks as of the original filing date of the Original Form 10-Q, 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 Original Form 10-Q. Accordingly, this Amendment should be read in conjunction with the Original Form 10-Q and our other filings with the SEC.
PART II
Item 6. Exhibits
* Filed herewith.
** Previously filed or furnished, as applicable, with the Original Form 10-Q.
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, we have duly caused this report to be signed on our behalf by the undersigned thereunto duly authorized.
| GOOSEHEAD INSURANCE, INC. | |||
|---|---|---|---|
| Date: | October 31, 2022 | By: | /s/ Mark E. Jones |
| Mark E. Jones | |||
| Chairman and Chief Executive Officer | |||
| (Principal Executive Officer) | |||
| Date: | October 31, 2022 | By: | /s/ Mark E. Jones, Jr. |
| Mark E. Jones, Jr. | |||
| Chief Financial Officer | |||
| (Principal Financial Officer and Principal Accounting Officer) |
Document
Exhibit 32
CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
The certification set forth below is being submitted in connection with Goosehead Insurance, Inc.’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2022 (the “Report”) for the purpose of complying with Rule 13a-14(b) or Rule 15d-14(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Section 1350 of Chapter 63 of Title 18 of the United States Code.
Mark E. Jones, the Chief Executive Officer and Mark E. Jones, Jr., the Chief Financial Officer of Goosehead Insurance, Inc., each certifies that, to the best of his knowledge:
the Report fully complies with the requirements of Section 13(a) or 15(d) of the Exchange Act; and
the information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of Goosehead Insurance, Inc.
Date: October 26, 2022
/s/ Mark E. Jones_______________________
Mark E. Jones
Chief Executive Officer
Date: October 26, 2022
/s/ Mark E. Jones, Jr._______________________
Mark E. Jones, Jr.
Chief Financial Officer