ALTV / Alteva (D/B/A) - SEC-arkiveringar, Årsredovisning, Fullmaktsutlåtande

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - SCHEDULE 13D/A Activist Investment

North Star Investment Management Corp.: Form SC 13D/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 Amendment No. 4 Alteva, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 936750108 (CUSIP Number) Peter Gottlieb, President North Star Investment Management Corporation 20

Alteva (D 15-12B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-35724 Alteva, Inc. (Exact name of registrant as specified in its charte

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

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): December 21, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorpora

AMENDED AND RESTATED ALTEVA, INC. ARTICLE I MEETINGS OF THE SHAREHOLDERS

Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF ALTEVA, INC. ARTICLE I MEETINGS OF THE SHAREHOLDERS Section 1.01 Offices. The principal office of Alteva, Inc. (the ?Corporation?) shall be as stated in the Restated Certificate of Incorporation of the Corporation, as the same may be amended from time to time (the ?Certificate of Incorporation?). The Corporation may also have offices and places of busine

CERTIFICATE OF INCORPORATION ALTEVA, INC. (under Section 807 of the Business Corporation Law)

Exhibit 3.1 RESTATED CERTIFICATE OF INCORPORATION OF ALTEVA, INC. (under Section 807 of the Business Corporation Law) I, the undersigned, being of the age of eighteen years or over, do hereby certify: FIRST: The name of the corporation is Alteva, Inc. (the ?Corporation?). The name under which the Corporation originally was incorporated was Warwick Valley Telephone Company. SECOND: The Certificate

Alteva (D S-8 POS

As filed with the Securities and Exchange Commission on December 21, 2015 Registration No.

Merger between Alteva, Inc. and MBS Holdings, Inc. Completed

EX-99.1 2 a15-253471ex99d1.htm EX-99.1 Exhibit 99.1 Merger between Alteva, Inc. and MBS Holdings, Inc. Completed PHILADELPHIA, PA — December 21, 2015 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announced today the successful completion of the merger between Alteva and MBS Holdings, Inc. (“Momentum”) pursuant

Alteva (D S-8 POS

As filed with the Securities and Exchange Commission on December 21, 2015 Registration No.

Alteva (D S-8 POS

S-8 POS 1 a15-253382s8pos.htm S-8 POS As filed with the Securities and Exchange Commission on December 21, 2015 Registration No. 033-46836 Registration No. 333-64799 Registration No. 333-169276 Registration No. 333-180829 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. 3 to Form S-8 Registr

Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events

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): December 21, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorpora

Alteva (D S-8 POS

As filed with the Securities and Exchange Commission on December 21, 2015 Registration No.

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - FORM SC 13D/A Activist Investment

North Star Investment Management Corp.: Form SC 13D/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Alteva, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 936750108 (CUSIP Number) Peter Gottlieb, President North Star Investm

SCHEDULE OF TRANSACTIONS

EX-99.A 2 ss466263ex99a.htm SCHEDULE OF TRANSACTIONS EXHIBIT A SCHEDULE OF TRANSACTIONS Reporting Person Date of Transaction Number of Shares Acquired Approximate Price Per Share Juniper Public Fund October 15, 2015 (1,400) $4.52 Juniper Public Fund October 20, 2015 (700) $4.52 Juniper Public Fund October 21, 2015 (20) $4.52 Juniper Public Fund November 16, 2015 (8,938) $4.55 Juniper Public Fund N

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 8 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

SECOND AMENDED AND RESTATED JOINT FILING AGREEMENT

EXHIBIT B SECOND AMENDED AND RESTATED JOINT FILING AGREEMENT This Second Amended and Restated Joint Filing Agreement (this “Agreement”), dated as of November 18, 2015, is made by and among Juniper Public Fund, L.

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 7 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

SCHEDULE OF TRANSACTIONS

EXHIBIT A SCHEDULE OF TRANSACTIONS Reporting Person Date of Transaction Number of Shares Acquired Approximate Price Per Share Juniper Public Fund September 18, 2015 (1,735) $4.

Current Report

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): November 16, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorpora

GLOBAL AMENDMENT TO CERTAIN RESTRICTED STOCK AWARD AGREEMENTS UNDER THE AMENDED AND RESTATED WARWICK VALLEY TELEPHONE COMPANY 2008 LONG-TERM INCENTIVE PLAN

Exhibit 10.5 GLOBAL AMENDMENT TO CERTAIN RESTRICTED STOCK AWARD AGREEMENTS UNDER THE AMENDED AND RESTATED WARWICK VALLEY TELEPHONE COMPANY 2008 LONG-TERM INCENTIVE PLAN This Amendment (this “Amendment”) is dated as of August 24, 2015 (the “Effective Date”). WHEREAS, Alteva, Inc. (the “Company”) is a party certain Restricted Stock Award Agreements (the “Agreements”) with directors of the Company (t

Alteva (D 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-35724 Al

ISS and Glass & Lewis Recommend that Alteva Shareholders Vote “FOR” Merger Agreement with MBS Holdings, Inc.

Exhibit 99.1 ISS and Glass & Lewis Recommend that Alteva Shareholders Vote ?FOR? Merger Agreement with MBS Holdings, Inc. PHILADELPHIA, PA ? November 6, 2015 ? Alteva, Inc. (?Alteva? or the ?Company?) (NYSE MKT: ALTV), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announced today that two proxy-advising firms have recommended that Alteva shareholders vote ?FOR? the appr

Financial Statements and Exhibits, Other Events

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): November 6, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Numb

Alteva (D DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

Alteva (D DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - SCHEDULE 13D/A Activist Investment

North Star Investment Management Corp.: Form SC 13D/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Alteva, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 936750108 (CUSIP Number) Peter Gottlieb, President North Star Investm

Alteva (D DEFM14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitte

Alteva (D DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): September 21, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Nu

Alteva (D PREM14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitte

Alteva Announces Resignation of CFO, Andrea McHugh Appointed Interim CFO

Exhibit 99.1 Alteva Announces Resignation of CFO, Andrea McHugh Appointed Interim CFO PHILADELPHIA, PA — September 25, 2015 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announced today that Brian H. Callahan has resigned his position as Executive Vice President, Chief Financial Officer, Treasurer, and Corpora

Momentum Telecom to Acquire Alteva

Exhibit 99.1 FOR IMMEDIATE RELEASE Momentum Telecom to Acquire Alteva BIRMINGHAM, AL and PHILADELPHIA, PA ? September 3, 2015 ? Momentum Telecom, Inc. (?Momentum Telecom?) and Alteva, Inc. (?Alteva?) (NYSE MKT: ALTV) announced that they have entered into a definitive agreement under which Alteva will be acquired by Momentum Telecom for a total equity purchase price of $28.7 million (the ?Merger?).

VOTING AGREEMENT

Exhibit 10.1 VOTING AGREEMENT This Voting Agreement (this “Agreement”), dated as of September 2, 2015, between the undersigned shareholders (the “Shareholders”) of Alteva, Inc., a New York corporation (the “Company”), and MBS Holdings, Inc., a Delaware corporation (“Parent”). WHEREAS, concurrently with or following the execution of this Agreement, the Company, Parent and Arrow Merger Subsidiary, I

Alteva Employee Discussion Points

Exhibit 99.2 Alteva Employee Discussion Points Situation Overview Momentum has signed an agreement to purchase the stock of Alteva in a take private transaction. The deal is subject to regulatory and Alteva shareholder approval, but is expected to close at year-end if approvals are received. Overview of Momentum Momentum Telecom is a leading VoIP, broadband services and unified communications prov

Alteva (D 8-K

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): September 2, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Num

AGREEMENT AND PLAN OF MERGER dated as of September 2, 2015, MBS HOLDINGS, INC. ARROW MERGER SUBSIDIARY, INC. ALTEVA, INC.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER dated as of September 2, 2015, among MBS HOLDINGS, INC. ARROW MERGER SUBSIDIARY, INC. and ALTEVA, INC. TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.01 The Merger 2 Section 1.02 Closing 2 Section 1.03 Effective Time 2 Section 1.04 Effects of the Merger 2 Section 1.05 Certificate of Incorporation and Bylaws 2 Section 1.06 Officers and Directors 3 A

Momentum Telecom to Acquire Alteva

EX-99.1 4 a15-190071ex99d1.htm EX-99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE Momentum Telecom to Acquire Alteva BIRMINGHAM, AL and PHILADELPHIA, PA — September 3, 2015 — Momentum Telecom, Inc. (“Momentum Telecom”) and Alteva, Inc. (“Alteva”) (NYSE MKT: ALTV) announced that they have entered into a definitive agreement under which Alteva will be acquired by Momentum Telecom for a total equity purchase

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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): September 2, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Num

AGREEMENT AND PLAN OF MERGER dated as of September 2, 2015, MBS HOLDINGS, INC. ARROW MERGER SUBSIDIARY, INC. ALTEVA, INC.

Exhibit 2.1 AGREEMENT AND PLAN OF MERGER dated as of September 2, 2015, among MBS HOLDINGS, INC. ARROW MERGER SUBSIDIARY, INC. and ALTEVA, INC. TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 Section 1.01 The Merger 2 Section 1.02 Closing 2 Section 1.03 Effective Time 2 Section 1.04 Effects of the Merger 2 Section 1.05 Certificate of Incorporation and Bylaws 2 Section 1.06 Officers and Directors 3 A

Alteva Employee Discussion Points

Exhibit 99.2 Alteva Employee Discussion Points Situation Overview Momentum has signed an agreement to purchase the stock of Alteva in a take private transaction. The deal is subject to regulatory and Alteva shareholder approval, but is expected to close at year-end if approvals are received. Overview of Momentum Momentum Telecom is a leading VoIP, broadband services and unified communications prov

VOTING AGREEMENT

Exhibit 10.1 VOTING AGREEMENT This Voting Agreement (this ?Agreement?), dated as of September 2, 2015, between the undersigned shareholders (the ?Shareholders?) of Alteva, Inc., a New York corporation (the ?Company?), and MBS Holdings, Inc., a Delaware corporation (?Parent?). WHEREAS, concurrently with or following the execution of this Agreement, the Company, Parent and Arrow Merger Subsidiary, I

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - SCHEDULE 13D/A Activist Investment

North Star Investment Management Corp.: Form SC 13D/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Alteva, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 936750108 (CUSIP Number) Peter Gottlieb, President North Star Investm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): August 21, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Numbe

GLOBAL AMENDMENT TO AWARD AGREEMENTS UNDER THE AMENDED AND RESTATED WARWICK VALLEY TELEPHONE COMPANY 2008 LONG-TERM INCENTIVE PLAN

Exhibit 10.1 GLOBAL AMENDMENT TO AWARD AGREEMENTS UNDER THE AMENDED AND RESTATED WARWICK VALLEY TELEPHONE COMPANY 2008 LONG-TERM INCENTIVE PLAN This Amendment (this ?Amendment?) is dated as of August 21, 2015 (the ?Effective Date?). WHEREAS, Alteva, Inc. (the ?Company?) has adopted the Amended and Restated Warwick Valley Telephone Company 2008 Long-Term Incentive Plan, as amended (the ?Plan?); WHE

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): August 14, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Numbe

ALTEVA REPORTS SECOND QUARTER FINANCIAL RESULTS

Exhibit 99.1 ALTEVA REPORTS SECOND QUARTER FINANCIAL RESULTS PHILADELPHIA, PA — August 14, 2015 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified-Communications-as-a-Service (“UCaaS”), today announced selected financial results for the second quarter ended June 30, 2015. Second Quarter 2015 Financial Results Highlights · For the second quarter of 201

Regulation FD Disclosure

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): August 11, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Numbe

Alteva (D 11-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K x ANNUAL REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 1, 2014 to December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number, 001-3572

ALTEVA REPORTS FIRST QUARTER FINANCIAL RESULTS, ANNOUNCES SPECIAL CASH DIVIDEND, TERMINATES STOCK REPURCHASE PROGRAM, AND SETS ANNUAL MEETING

Exhibit 99.1 ALTEVA REPORTS FIRST QUARTER FINANCIAL RESULTS, ANNOUNCES SPECIAL CASH DIVIDEND, TERMINATES STOCK REPURCHASE PROGRAM, AND SETS ANNUAL MEETING PHILADELPHIA, PA ? May 15, 2015 ? Alteva, Inc. (?Alteva? or the ?Company?) (NYSE MKT: ALTV), a premier provider of hosted Unified-Communications-as-a-Service (?UCaaS?), today announced selected financial results for the first quarter ended March

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

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): May 15, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number)

Juniper Investment Company, LLC

Juniper Investment Company, LLC 555 Madison Avenue New York, New York 10022 JUNIPER INVESTMENT COMPANY 212 339 8500 May 1, 2015 Members of the Board of Directors Alteva, Inc.

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 6 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): March 16, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number

ALTEVA REPORTS FOURTH QUARTER AND FULL YEAR 2014 FINANCIAL RESULTS

EX-99.1 2 a15-73581ex99d1.htm EX-99.1 Exhibit 99.1 ALTEVA REPORTS FOURTH QUARTER AND FULL YEAR 2014 FINANCIAL RESULTS PHILADELPHIA, PA — March 16, 2015 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified-Communications-as-a-Service (“UCaaS”), today announced selected financial results for the fourth quarter and year ended December 31, 2014. 2014 Financ

signature page follows

Exhibit 10.1 [Date] [Name] [Street Address] [City], [State] [Zip Code] Re: Retention Bonus Dear : Alteva, Inc. (the “Company”) wants to ensure your continued services to the Company. Therefore, we are pleased to inform you that you are eligible to receive a retention bonus, subject to the terms of this letter. 1. Retention Bonus. You are eligible to receive a total retention bonus amount equal to

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): March 3, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number

RESTRICTED STOCK AWARD AGREEMENT

EXHIBIT 10.2 RESTRICTED STOCK AWARD AGREEMENT (NEOs) This Award Agreement (this “Agreement”) is made effective as of by and between Alteva, Inc., a New York corporation (the “Company”), and (the “Participant”). This Agreement is made pursuant to the Alteva 2008 Long-Term Incentive Plan (the “Plan”). The purpose of this Agreement is to establish a written agreement evidencing a Restricted Stock Awa

Alteva Board of Directors Announces Hiring of Advisor to Evaluate Alternatives to Enhance Shareholder Value

Exhibit 99.1 FOR IMMEDIATE RELEASE Alteva Board of Directors Announces Hiring of Advisor to Evaluate Alternatives to Enhance Shareholder Value PHILADELPHIA, PA — January 20, 2015 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announces that the Company’s Board of Directors has hired Oppenheimer & Co. Inc. as it

Financial Statements and Exhibits, Other Events

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 20, 2015 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Numb

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 5 TO SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

SCHEDULE OF TRANSACTIONS

EXHIBIT A SCHEDULE OF TRANSACTIONS Reporting Person Date of Transaction Number of Shares Acquired (Sold) Approximate Price Per Share Brad Bono December 3, 2014 (2,000) $6.72 Brad Bono December 5, 2014 (7,000) $6.81

MICHAS ALEXIS P DFAN14A - - SOLICITING MATERIAL UNDER RULE 14A-12

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - FORM SC 13D Activist Investment

North Star Investment Management Corporation - Schedule 13D - Filed by newsfilecorp.

Regulation FD Disclosure, Financial Statements and Exhibits

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): November 20, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Num

Alteva Shareholder Update

Exhibit 99.1 Alteva Shareholder Update November 20, 2014 Dear Alteva Shareholder, Management and the Board of Directors believe it is important to share our views with you about the growth, prospects and recent events concerning your Company. In this letter, we hope to provide some of our thoughts on the Company’s history and outlook. What is going on now with the Orange-County Poughkeepsie Partne

ALTEVA, INC. RESTRICTIVE COVENANT AGREEMENT

Exhibit 10.5 ALTEVA, INC. RESTRICTIVE COVENANT AGREEMENT By this Restrictive Covenant Agreement (the “Agreement”), effective November 12, 2014 (the “Effective Date”), Alteva, Inc., a New York corporation (the “Company”) and [Executive] (“Executive”), agree as follows: 1. Confidentiality. Executive understands that Executive will receive Confidential Information (defined below) during Executive’s e

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Exhibit 10.3 October 20, 2014 Mardoqueo Marquez, Jr. 1109 Sykesville Road Williamstown, NJ 08094 Dear Mr. Marquez: Alteva, Inc. (the “Company”) is pleased to offer you the following terms of employment as the Company’s Executive Vice President, Chief Technology Officer. This letter is not a contract or a guarantee of any specific term or condition of employment. You will receive an annual salary o

2

EX-10.2 3 a14-247351ex10d2.htm EX-10.2 Exhibit 10.2 October 20, 2014 Brian H. Callahan 1222 Tressler Drive Fort Washington, PA 19034 Dear Mr. Callahan: Alteva, Inc. (the “Company”) is pleased to offer you the following terms of employment as the Company’s Executive Vice President, Chief Financial Officer and Treasurer. This letter is not a contract or a guarantee of any specific term or condition

2

Exhibit 10.1 October 16, 2014 Brian J. Kelley 92 Four Winds Lane New Canaan, CT 06840 Dear Brian: Alteva, Inc. (the “Company”) is pleased to offer you the following terms of employment as the Company’s CEO. This letter is not a contract or a guarantee of any specific term or condition of employment. You will receive an annual salary of $335,000, subject to applicable taxes and withholding, payable

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): November 12, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Num

ALTEVA, INC. NAMED EXECUTIVE OFFICER COMPENSATION POLICY

Exhibit 10.6 ALTEVA, INC. NAMED EXECUTIVE OFFICER COMPENSATION POLICY 1. Applicability. This Named Executive Officer Compensation Policy (the “Policy”), effective October 20, 2014, applies to all named executive officers (“Executives”) of Alteva, Inc., a New York Corporation (the “Company”), and is intended to assist the Company in attracting, motivating and retaining Executives. 2. Bonus and Long

2

Exhibit 10.4 October 20, 2014 William K. Birnie 1326 Pinebrook Court Maple Glen, PA 19002 Dear Mr. Birnie: Alteva, Inc. (the “Company”) is pleased to offer you the following terms of employment as the Company’s Executive Vice President, Chief Marketing Officer. This letter is not a contract or a guarantee of any specific term or condition of employment. You will receive an annual salary of $180,00

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 13, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation)

SEPARATION AND RELEASE OF CLAIMS AGREEMENT

Exhibit 10.1 SEPARATION AND RELEASE OF CLAIMS AGREEMENT This Separation and Release of Claims Agreement (“Agreement”) is entered into by and between Alteva, Inc., a New York corporation (the “Company”) on behalf of itself, its subsidiaries and other corporate affiliates and each of their respective employees, officers, directors, owners, shareholders and agents (collectively referred to herein as

SCHEDULE OF TRANSACTIONS Reporting Person Date of Transaction Number of Shares Acquired Approximate Price Per Share Juniper Public Fund September 22, 2014 17,166 $7.15 Juniper Public Fund September 23, 2014 201 $7.20 Juniper Public Fund September 24,

EX-99.A 2 ss406158ex99a.htm SCHEDULE OF TRANSACTIONS EXHIBIT A SCHEDULE OF TRANSACTIONS Reporting Person Date of Transaction Number of Shares Acquired Approximate Price Per Share Juniper Public Fund September 22, 2014 17,166 $7.15 Juniper Public Fund September 23, 2014 201 $7.20 Juniper Public Fund September 24, 2014 4,800 $7.20 Juniper Public Fund September 25, 2014 1,462 $7.20 Juniper Public Fun

Financial Statements and Exhibits, Results of Operations and Financial Condition

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): November 10, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of (Commission File Number) (IRS Emplo

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 4 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

ALTEVA REPORTS THIRD QUARTER 2014 FINANCIAL RESULTS

Exhibit 99.1 ALTEVA REPORTS THIRD QUARTER 2014 FINANCIAL RESULTS PHILADELPHIA, PA — November 10, 2014 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified-Communications-as-a-Service (“UCaaS”), today announced selected financial results for the third quarter ended September 30, 2014. Third Quarter 2014 Financial Results Highlights · For the third quarte

JUNIPER INVESTMENT COMPANY

JUNIPER INVESTMENT COMPANY Juniper Investment Company, LLC 555 Madison Avenue New York, New York 10022 212 339 8500 November 11, 2014 Members of the Board of Directors Alteva, Inc.

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - FORM SC 13G/A Passive Investment

SC 13G/A 1 schedule13ga.htm FORM SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 Amendment No. 1 Alteva, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 936750108 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate t

SETTLEMENT AGREEMENT AND MUTUAL RELEASE OF ALL CLAIMS

Exhibit 10.1 SETTLEMENT AGREEMENT AND MUTUAL RELEASE OF ALL CLAIMS This Settlement Agreement and Release of All Claims (the “Agreement”), effective October 16, 2014 (“Effective Date”) is made by and between Alteva, Inc., a New York Corporation (the “Company”) and David J. Cuthbert (the “Executive”). The parties hereby state that: WHEREAS, the Executive was employed by the Company until March 31, 2

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): October 16, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Numb

SCHEDULE OF TRANSACTIONS

EXHIBIT A SCHEDULE OF TRANSACTIONS Reporting Person Date of Transaction Number of Shares Acquired Approximate Price Per Share Juniper Public Fund September 3, 2014 961 $7.

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 3 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

ALTEVA BOARD UNANIMOUSLY REJECTS UNSOLICITED PROPOSAL FROM JUNIPER, ADOPTS SHAREHOLDER RIGHTS PLAN Juniper Proposal Significantly Undervalues Alteva and Is Not in the Best Interests of Shareholders

Exhibit 2 FOR IMMEDIATE RELEASE ALTEVA BOARD UNANIMOUSLY REJECTS UNSOLICITED PROPOSAL FROM JUNIPER, ADOPTS SHAREHOLDER RIGHTS PLAN Juniper Proposal Significantly Undervalues Alteva and Is Not in the Best Interests of Shareholders Philadelphia, PA, September 2, 2014 — Alteva, Inc.

CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION OF ALTEVA, INC. (Under Section 805 of the Business Corporation Law)

Exhibit 3.1 CERTIFICATE OF AMENDMENT of CERTIFICATE OF INCORPORATION OF ALTEVA, INC. (Under Section 805 of the Business Corporation Law) The undersigned, being the Chief Executive Officer of Alteva, Inc. (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Alteva, Inc. The name under which it was formed is Warwick Valley Telephone Company. 2. The Corporation’s Certif

ALTEVA BOARD UNANIMOUSLY REJECTS UNSOLICITED PROPOSAL FROM JUNIPER, ADOPTS SHAREHOLDER RIGHTS PLAN Juniper Proposal Significantly Undervalues Alteva and Is Not in the Best Interests of Shareholders

Exhibit 99.1 FOR IMMEDIATE RELEASE ALTEVA BOARD UNANIMOUSLY REJECTS UNSOLICITED PROPOSAL FROM JUNIPER, ADOPTS SHAREHOLDER RIGHTS PLAN Juniper Proposal Significantly Undervalues Alteva and Is Not in the Best Interests of Shareholders Philadelphia, PA, September 2, 2014 — Alteva, Inc. (NYSE MKT: ALTV) announced today that its Board of Directors has adopted a shareholder rights plan. Shareholder righ

Alteva, Inc., a New York corporation American Stock Transfer & Trust Company, LLC, as Rights Agent RIGHTS AGREEMENT Dated as of September 2, 2014

Exhibit 4.1 Alteva, Inc., a New York corporation and American Stock Transfer & Trust Company, LLC, as Rights Agent RIGHTS AGREEMENT Dated as of September 2, 2014 TABLE OF CONTENTS Page Section 1. Certain Definitions 1 Section 2. Appointment of Rights Agent 7 Section 3. Issue of Right Certificates 7 Section 4. Form of Right Certificates 9 Section 5. Countersignature and Registration 9 Section 6. Tr

Alteva, Inc., a New York corporation American Stock Transfer & Trust Company, LLC, as Rights Agent RIGHTS AGREEMENT Dated as of September 2, 2014

Exhibit 1 Alteva, Inc., a New York corporation and American Stock Transfer & Trust Company, LLC, as Rights Agent RIGHTS AGREEMENT Dated as of September 2, 2014 TABLE OF CONTENTS Page Section 1. Certain Definitions 1 Section 2. Appointment of Rights Agent 7 Section 3. Issue of Right Certificates 7 Section 4. Form of Right Certificates 9 Section 5. Countersignature and Registration 9 Section 6. Tran

ALTEVA, INC. ARTICLE I.

Exhibit 3.2 BY-LAWS ALTEVA, INC. ARTICLE I. OFFICES Section 1. Principal Office. The principal office of the Company shall be located in the City of Philadelphia, Commonwealth of Pennsylvania. Section 2. Additional Offices. The Company may also have offices and places of business at such other places, within or without the State of New York, as the Board of Directors may from time to time determin

ALTV / Alteva (D/B/A) 8-A12B - - 8-A12B

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 ALTEVA, INC. (Exact name of registrant as specified in its charter) New York 14-1160510 (State of incorporation) (I.R.S. Employer Identification No.) 401 Market Street, First Floor, Philadelphia, PA 19106 (Addre

1

Exhibit 99.2 Juniper Investment Company, LLC 600 Madison Avenue New York, New York 10022 JUNIPER INVESTMENT COMPANY 212 339 8500 CONFIDENTIAL August 26, 2014 Members of the Board of Directors Alteva, Inc. Attention: Mr. Brian J. Kelley Interim Chief Executive Officer 401 Market Street Philadelphia, PA 19106-2107 Dear Mr. Kelley and Members of the Board of Directors, I am pleased to provide you wit

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Other Events

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): September 2, 2014 ALTEVA, INC. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or Other Jurisdiction of Incorporation) (Commission File Num

Alteva Appoints CEO and Announces Restructuring Update, Strategic Acquisition Initiatives and Stock Buy Back

Exhibit 99.1 Alteva Appoints CEO and Announces Restructuring Update, Strategic Acquisition Initiatives and Stock Buy Back PHILADELPHIA, PA - August 25, 2014 - Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified Communications as a Service (“UCaaS”), is pleased to announce the appointment of Brian J. Kelley to the position of CEO. Further, the Company has

EXHIBIT E

EXHIBIT E Juniper Investment Company, LLC 600 Madison Avenue New York, New York 10022 JUNIPER INVESTMENT COMPANY 212 339 8500 CONFIDENTIAL August 26, 2014 Members of the Board of Directors Alteva, Inc.

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 2 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events

8-K 1 a14-2007118k.htm 8-K 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): August 25, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporat

AMENDED AND RESTATED JOINT FILING AGREEMENT

EXHIBIT B AMENDED AND RESTATED JOINT FILING AGREEMENT This Amended and Restated Joint Filing Agreement (this “Agreement”), dated as of August [], 2014, is made by and among Juniper Public Fund, L.

- 11-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K x ANNUAL REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 1, 2013 to December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number, 001-3572

Current Report

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): June 18, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorporation

EXHIBIT D

EXHIBIT D Juniper Investment Company, LLC 555 Madison Avenue New York, New York 10022 JUNIPER INVESTMENT COMPANY 212 339 8500 May 27, 2014 Mr.

TGX / Theragenics Corp / MICHAS ALEXIS P - AMENDMENT NO. 1 Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 555 Madison Avenue, 24th Floor New York, New York 10022 (212) 339-8500 (Name, Ad

SCHEDULE OF TRANSACTIONS Date of Transaction Number of Shares Acquired Approximate Price Per Share April 1, 2014 11,131 $7.44 April 2, 2014 3,869 $7.50

EX-99.A 2 ss214545ex99a.htm SCHEDULE OF TRANSACTIONS EXHIBIT A SCHEDULE OF TRANSACTIONS Date of Transaction Number of Shares Acquired Approximate Price Per Share April 1, 2014 11,131 $7.44 April 2, 2014 3,869 $7.50

EXHIBIT C

EXHIBIT C Juniper Investment Company, LLC 555 Madison Avenue New York, New York 10022 JUNIPER INVESTMENT COMPANY 212 339 8500 May 8, 2014 Mr.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

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): May 5, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number (I

ALTEVA ANNOUNCES APPOINTMENT OF INTERIM CEO Appoints Board Member Brian J. Kelley

Exhibit 99.1 ALTEVA ANNOUNCES APPOINTMENT OF INTERIM CEO Appoints Board Member Brian J. Kelley PHILADELPHIA, PA — May 7, 2014 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified-Communications-as-a-Service, (“UCaaS”), announced today that its Board of Directors has appointed board member Brian J. Kelley as its Interim Chief Executive Officer (CEO), eff

Financial Statements and Exhibits, Other Events

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) April 30, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorporation

Alteva Exercises its O-P Put Option for $50 Million

Exhibit 99.1 Alteva Exercises its O-P Put Option for $50 Million PHILADELPHIA, PA — April 30, 2014 — Alteva, Inc. (“Alteva” or the “Company”) (NYSE MKT: ALTV), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announced today that, in accordance with its previously announced plans, the Company has exercised the put option to sell its interest in the Orange County-Poughkeeps

- DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

Alteva, Inc. 4Q13 and Full Year 2013 Financial Results Conference Call Script

Exhibit 99.1 Alteva, Inc. 4Q13 and Full Year 2013 Financial Results Conference Call Script “Operator · Good morning and welcome to the Alteva Fourth Quarter and Full Year 2013 Financial Results Conference Call. All participants will be in listen-only mode. Should you need assistance, please signal a Conference Specialist by pressing the star key followed by Zero. · We will not be taking questions

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 a14-939918k.htm 8-K 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): April 1, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): March 31, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number

Alteva Implements Management Changes and Announces Organizational Restructuring

EX-99.1 2 a14-92941ex99d1.htm EX-99.1 Exhibit 99.1 Alteva Implements Management Changes and Announces Organizational Restructuring Realignment expected to Streamline Operating Efficiencies and Drive Profitable Growth with Emphasis on Customer Service Excellence Alteva March 31, 2014 PHILADELPHIA, PA—(March 31, 2014) - Alteva (NYSE MKT: ALTV), a premier provider of hosted Unified Communications as

Alteva (D 10-K (Annual Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File No. 001-35724 Alteva, Inc

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March 25, 2014 Mr. Larry Spirgel Assistant Director United States Securities and Exchange Commission Division of Corporation Finance Washington, D.C. 20549 Re: Alteva, Inc. Item 4.02 Form 8-K Filed March 18, 2014 File No. 1-35724 Dear Mr. Spirgel: Alteva, Inc. (“we,” “us,” “our” or the “Company”) is hereby responding to the comments of the staff (the “Staff”) of the Securities and Exchange Commiss

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Co

- NT 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-35724 CUSIP Number: 936750108 (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o T

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review - 8-K

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): March 14, 2014 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number

to Schedule 13G

EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940.

to Schedule 13G Joint Filing Agreement

EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 14, 2014 in connection with their beneficial ownership of Alteva, Inc. Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute the Schedule 13G to which this Exhibit is attached and make an

ALTV / Alteva (D/B/A) / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment

SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #3 Under the Securities and Exchange Act of 1934 Alteva, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 936750108 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed

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January 7, 2014 Mr. Larry Spirgel Assistant Director United States Securities and Exchange Commission Division of Corporation Finance Washington, D.C. 20549 Re: Alteva, Inc. Form 10-K for the Year Ended December 31, 2012 Filed March 18, 2013 File No. 1-35724 Dear Mr. Spirgel: Alteva, Inc. (“we,” “us,” “our” or the “Company”) is hereby responding to the comments of the staff (the “Staff”) of the Se

ALTV / Alteva (D/B/A) / North Star Investment Management Corp. - SCHEDULE 13G Passive Investment

North Star Investment Management Corp.: Schedule 13G - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Annual 2014) ALTEVA, INC. (Name of Issuer) COMMON (Title of Class of Securities) 936750108 (CUSIP Number) 12/31/2013 (Date of Event Which Requires Filing of this Statement) Check the appropri

Alteva Announces New Chairman of the Board

Exhibit 99.1 Alteva Announces New Chairman of the Board PHILADELPHIA, PA — November 7, 2013 — Alteva (NYSE MKT: ALTV) (the “Company”), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announced that effective November 1, 2013, the Company appointed Kelly C. Bloss as Chairman of the Board of Directors to succeed Robert J. DeValentino, whose previously disclosed retirement f

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

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) November 1, 2013 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorporation

SCHEDULE OF TRANSACTIONS

EXHIBIT A SCHEDULE OF TRANSACTIONS Date of Transaction Number of Shares Acquired Approximate Price Per Share September 16, 2013 6,895 $7.15 September 17, 2013 39,081 $7.21 September 18, 2013 300,000 $7.27

TGX / Theragenics Corp / MICHAS ALEXIS P - SCHEDULE 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Alteva, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 883375107 (CUSIP Number) Alexis P. Michas Juniper Investment Company, LLC 600 Madison Avenue, 16th Floor New York, New York 10022 (212) 339-8585 (Name, Add

JOINT FILING AGREEMENT

EXHIBIT B JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13D, dated September 21, 2013 (the “Schedule 13D”), with respect to the common stock, par value $.

Financial Statements and Exhibits, Other Events

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) September 1, 2013 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction of incorporation) (Commission File Number

Alteva Announces Sale of the Assets of USA Datanet

Exhibit 99.1 Alteva Announces Sale of the Assets of USA Datanet PHILADELPHIA, PA — September 4, 2013 — Alteva (NYSE MKT: ALTV), a premier provider of hosted Unified Communications-as-a-Service (UCaaS), announces the sale of substantially all of the assets of its USA Datanet business effective September 1, 2013 to an undisclosed buyer for approximately $600,000, subject to customary post-closing ad

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

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) August 1, 2013 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorporation)

Alteva Appoints New Members on Its Board of Directors

Exhibit 99.1 Alteva Appoints New Members on Its Board of Directors PHILADELPHIA, PA — August 07, 2013 — The Board of Directors of Alteva, Inc. (the “Company”) (NYSE MKT: ALTV), announced today the appointment of Brian J. Kelley and Edward J. Morea to its Board of Directors effective November 1, 2013, to fill the existing vacancy on the Board and the vacancy to be created by the forthcoming retirem

- 11-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K [ X ] ANNUAL REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 1, 2012 to December 31, 2012 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number, 0-

BY-LAWS ALTEVA, INC. ARTICLE I.

Exhibit 3.2 BY-LAWS ALTEVA, INC. ARTICLE I. OFFICES Section 1. Principal Office. The principal office of the Company shall be located in the City of Philadelphia, Commonwealth of Pennsylvania. Section 2. Additional Offices. The Company may also have offices and places of business at such other places, within or without the State of New York, as the Board of Directors may from time to time determin

CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION WARWICK VALLEY TELEPHONE COMPANY Under Section 805 of the Business Corporation Law

Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF WARWICK VALLEY TELEPHONE COMPANY Under Section 805 of the Business Corporation Law 1. The name of the Corporation is Warwick Valley Telephone Company. 2. The Corporation’s Certificate of Incorporation was filed by the Department of State on January 16, 1902. 3. The Certificate of Incorporation of the Corporation is hereby

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders - 8-K

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) May 16, 2013 Alteva, Inc. (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer of incorporation) Fi

1 President and CEO’s Report Building Long Term Value Annual Meeting of Shareholders Philadelphia, PA May 16, 2013

Exhibit 99.1 1 President and CEO’s Report Building Long Term Value Annual Meeting of Shareholders Philadelphia, PA May 16, 2013 2 Safe Harbor Statement This presentation and related discussions may contain "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, including statements, without limitation, reg

Regulation FD Disclosure, Financial Statements and Exhibits - 8-K

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) May 16, 2013 WARWICK VALLEY TELEPHONE COMPANY (Exact Name of Registrant as Specified in Charter) NEW YORK 1-35724 14-1160510 (State or Other Jurisdiction (Commission (IRS employer of Incorporation)

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K

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) May 7, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer o

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review - 8-K

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) May 10, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer

- DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

- PRE 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)

Entry into a Material Definitive Agreement - 8-K

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) March 13, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employe

WithumSmith+Brown, PC

Exhibit 16.1 WithumSmith+Brown, PC Certified Public Accountants and Consultants 5 Vaughn Drive Princeton, NJ 08540-6313 609 520 1188 . fax 609 520 9882 www.withum.com Additional Offices in New Jersey, New York, Pennsylvania, Maryland, Florida, and Colorado. March 19, 2013 Securities and Exchange Commission 450 Fifth Street, NW Washington, DC 20549 Dear Sir/Madam: We have read item 4.01(a) of Form

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - 8-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 31, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (C

ALTEVA REPORTS FOURTH QUARTER 2012 FINANCIAL RESULTS AND SIGNIFICANT CORPORATE DEVELOPMENTS Unified Communications Revenues Increased 10.7% from Prior Year; Highest Level of New Seats Under Contract in Company History Conference Call Scheduled for Ma

Exhibit 99.1 ALTEVA REPORTS FOURTH QUARTER 2012 FINANCIAL RESULTS AND SIGNIFICANT CORPORATE DEVELOPMENTS Unified Communications Revenues Increased 10.7% from Prior Year; Highest Level of New Seats Under Contract in Company History Conference Call Scheduled for March 19 at 10:00 a.m. Eastern WARWICK, NY — March 18, 2013 — Alteva (“Alteva” or the “Company”) (NYSE MKT: ALTV), a leading cloud communic

Regulation FD Disclosure, Financial Statements and Exhibits, Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review - 8-K

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) March 12, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction of incorporation) (Commi

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - 8-K

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) March 11, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York (State or other jurisdiction of incorporation) 001-35724 (Commission Fil

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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) March 5, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Employer

ALTEVA NAMES DAVID CUTHBERT AS CHIEF EXECUTIVE OFFICER

Exhibit 99.1 ALTEVA NAMES DAVID CUTHBERT AS CHIEF EXECUTIVE OFFICER WARWICK, NY — March 5, 2013 — The Board of Directors of Alteva (the “Company”) (NYSE MKT: ALTV) announced the election of David Cuthbert to replace Duane Albro as Chief Executive Officer, effective today, March 5, 2013. Mr. Cuthbert was the CEO and President of Alteva, LLC, a nationally ranked cloud-based Unified Communications so

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February 14, 2013 VIA EDGAR Mr. Larry Spirgel Assistant Director Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Warwick Valley Telephone Company Form 8-K, Item 4.01 Filed February 6, 2013 File No. 001-35724 Dear Mr. Spirgel, This letter sets forth our response to the comments of the staff of the Division of Corporation Fi

to Schedule 13G Joint Filing Agreement

EX-99.II Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 12, 2013 in connection with their beneficial ownership of Warwick Valley Telephone Co. Each of Columbia Small Cap Value Fund I and Columbia Management Investment Advisers, LLC authorizes Ameriprise Financial, Inc. to execute th

to Schedule 13G

EX-99.I Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940.

ALTV / Alteva (D/B/A) / AMERIPRISE FINANCIAL INC - SC 13G/A Passive Investment

SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #2 Under the Securities and Exchange Act of 1934 Warwick Valley Telephone Co. (Name of Issuer) Common Stock (Title of Class of Securities) 936750108 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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 31, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Emplo

WithumSmith+Brown, PC

Exhibit 16.1 WithumSmith+Brown, PC Certified Public Accountants and Consultants 5 Vaughn Drive Princeton, NJ 08540-6313 609 520 1188 . fax 609 520 9882 www.withum.com Additional Offices in New Jersey, New York, Pennsylvania, Maryland, Florida, and Colorado. February 6, 2013 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Dear Sir/Madam: We have read item 4.01(a) of F

Financial Statements and Exhibits, Other Events

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) February 4, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Emplo

ALTEVA ELEVATES BRAND WITH TICKER SYMBOL CHANGE

Exhibit 99.1 ALTEVA ELEVATES BRAND WITH TICKER SYMBOL CHANGE WARWICK , NY — February 4, 2013 — Warwick Valley Telephone Company, doing business as Alteva (NYSE MKT: ALTV), a leading cloud communications pioneer, announced that effective with the start of trading today its stock ticker symbol will be ALTV on the NYSE MKT. The stock previously traded under the symbol WVT. The ticker symbol change is

WVT COMMUNICATIONS GROUP ELEVATES STATURE AS UNIFIED COMMUNICATION LEADER WITH NAME CHANGE TO ALTEVA Alteva Branding Leverages Position as 9th Largest Unified Communications Provider

WVT COMMUNICATIONS GROUP ELEVATES STATURE AS UNIFIED COMMUNICATION LEADER WITH NAME CHANGE TO ALTEVA Alteva Branding Leverages Position as 9th Largest Unified Communications Provider WARWICK , NY – January 22, 2013 – Warwick Valley Telephone Company (NYSE MKT: WVT), referred to as WVT Communications Group or the Company, the parent company of leading cloud communications pioneers, today announced that it will immediately begin conducting business as Alteva.

Financial Statements and Exhibits, Other Events - FORM 8-K

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 22, 2013 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Emplo

CREDIT AGREEMENT Dated as of November 8, 2012 by and between Warwick Valley Telephone Company, as the Borrower TRISTATE CAPITAL BANK, as the Lender Table of Contents

CREDIT AGREEMENT Dated as of November 8, 2012 by and between Warwick Valley Telephone Company, as the Borrower and TRISTATE CAPITAL BANK, as the Lender Table of Contents Page Article I DEFINITIONS 1 1.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

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) November 8, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Emplo

REVOLVING CREDIT NOTE

REVOLVING CREDIT NOTE $2,500,000 November 8, 2012 FOR VALUE RECEIVED, WARWICK VALLEY TELEPHONE COMPANY, a New York corporation (the “Borrower”), promises to pay to the order of TRISTATE CAPITAL BANK (the “Lender”) the principal amount of TWO MILLION FIVE HUNDRED THOUSAND DOLLARS ($2,500,000) or, if less, the aggregate amount of Loans (as defined in the Credit Agreement referred to below) made by the Lender to the Borrower pursuant to the Credit Agreement referred to below outstanding on the Expiration Date (as defined in such Credit Agreement) on the Expiration Date.

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

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) November 9, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 001-35724 14-1160510 (State or other jurisdiction (Commission (IRS Emp

WVT Communications Group Reports Third Quarter 2012 Financial Results Unified Communications Revenues Increased 38%; Conference Call Scheduled for November 12

WVT Communications Group Reports Third Quarter 2012 Financial Results Unified Communications Revenues Increased 38%; Conference Call Scheduled for November 12 Warwick, NY – November 9, 2012 – Warwick Valley Telephone Company (NYSE MKT: WVT) (referred to as WVT Communications Group or the Company), the parent company of leading cloud communications pioneers, today announced financial results for its third quarter ended September 30, 2012.

AMENDED AND RESTATED MASTER LOAN AGREEMENT

MLA No. RX0886(A) AMENDED AND RESTATED MASTER LOAN AGREEMENT THIS AMENDED AND RESTATED MASTER LOAN AGREEMENT (this “Agreement”), dated as of October 31, 2012, is made by and between COBANK, ACB (“CoBank”) and WARWICK VALLEY TELEPHONE COMPANY, a New York corporation (the “Borrower”), and amends and restates in its entirety the Master Loan Agreement, dated as of February 18, 2003, between CoBank and

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K

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) October 31, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 1-35724 14-1160510 (State or other jurisdiction (Commission (IRS Emplo

AMENDED AND RESTATED THIRD SUPPLEMENT TO THE AMENDED AND RESTATED MASTER LOAN AGREEMENT

Loan No. RX0886-S3(A) AMENDED AND RESTATED THIRD SUPPLEMENT TO THE AMENDED AND RESTATED MASTER LOAN AGREEMENT This AMENDED AND RESTATED THIRD SUPPLEMENT TO THE AMENDED AND RESTATED MASTER LOAN AGREEMENT (this “Third Supplement”), is entered into as of October 31, 2012, by and between COBANK, ACB (“CoBank”) and WARWICK VALLEY TELEPHONE COMPANY (the “Borrower”), supplements the Amended and Restated

- AMENDMENT NO. 1 TO FORM 8-A12B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A/A (Amendment No. 1) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 14-1160510 (State of incorporation or organization) (I.R.S. Employer Identificat

- FORM 25

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-35724 Warwick Valley Telephone Company The NASDAQ Stock Market LLC (NASDAQ Global Market) (Exact name of Issuer as specified in its charter, and name of Exchange where security

- FORM 8-A12B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 14-1160510 (State of incorporation or organization) (I.R.S. Employer Identification No.) 47 Main Str

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits - CURRENT REPORT

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) October 26, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Emplo

WVT Communications Group Commences Corporate Restructuring

EX-99.2 3 v327203ex99-2.htm PRESS RELEASE WVT Communications Group Commences Corporate Restructuring Warwick, NY – November 1, 2012 – Warwick Valley Telephone Company (NASDAQ: WWVY), referred to as WVT Communications Group or the Company, the parent company of leading cloud communications pioneers, today announced the commencement of its corporate governance restructuring resulting in the Company’

WVT Communications Group Announces Transfer of Common Stock Listing to NYSE MKT

WVT Communications Group Announces Transfer of Common Stock Listing to NYSE MKT Warwick, NY – October 26, 2012 – Warwick Valley Telephone Company (NASDAQ: WWVY), referred to as WVT Communications Group or the Company, the parent company of leading cloud communications pioneers, today announced the pending transfer of the listing of its common stock from the NASDAQ Global Market (“NASDAQ”) to the NYSE Euronext’s NYSE MKT (“NYSE MKT”).

Entry into a Material Definitive Agreement - FORM 8-K

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) September 26, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Emp

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

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) September 17, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Emp

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September 20, 2012 VIA EDGAR Mr. Larry Spirgel Assistant Director Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Warwick Valley Telephone Company Form 10-K for the fiscal year ended December 31, 2011 Filed March 15, 2011 File No. 000-11174 Dear Mr. Spirgel, This letter sets forth our response to the comments of the staff

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September 14, 2012 VIA EDGAR Mr. Larry Spirgel Assistant Director Division of Corporation Finance United States Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Re: Warwick Valley Telephone Company Form 10-K for the fiscal year ended December 31, 2011 Filed March 15, 2011 File No. 000-11174 Dear Mr. Spirgel , We received your comment letter dated August 30, 2012 requesting

Entry into a Material Definitive Agreement - FORM 8-K

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) August 30, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Employ

Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K

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 10, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) 0-11174 14-1160510 (Commission File No.

WVT Communications Group Reports Second Quarter 2012 Financial Results Cloud Communications Revenues Increase 169%

Exhibit 99.1 WVT Communications Group Reports Second Quarter 2012 Financial Results Cloud Communications Revenues Increase 169% Warwick, NY – August 10, 2012 – Warwick Valley Telephone Company (NASDAQ: WWVY), referred to as WVT Communications Group or the Company, the parent company of leading cloud communications pioneers, today announced financial results for its second quarter and six months en

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

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) August 2, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Employe

WVT Communications Group Announces Brian H. Callahan as CFO

Exhibit 99.1 WVT Communications Group Announces Brian H. Callahan as CFO On August 3, 2012, Warwick Valley Telephone Company (NASDAQ: WWVY) (the “Company”), referred to as WVT Communications Group, the parent company of leading cloud communications pioneers, has announced the resignation of Mr. Ralph Martucci from his position as Executive Vice President, Chief Financial Officer and Treasurer. Mr.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K

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 3, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) 0-11174 14-1160510 (Commission File No.

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Exhibit 99.1 WARWICK, NY – July 20, 2012 – Warwick Valley Telephone Company (NASDAQ: WWVY) (the “Company”), referred to as WVT Communications Group, the parent company of leading cloud communications pioneers, today announced the appointment of David J. Cuthbert as President. Mr. Cuthbert will continue to serve as the Company’s Chief Operating Officer. The management change effectively separates t

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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) July 17, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Employer

Financial Statements and Exhibits, Other Events - FORM 8-K

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) July 13, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Employer

WVT Communications Announces Landmark Decision by New York State Public Service Commission

Exhibit 99.1 WVT Communications Announces Landmark Decision by New York State Public Service Commission WARWICK, NY – July 17, 2012 – Warwick Valley Telephone Company (NASDAQ: WWVY) (the “Company”), the parent company of leading cloud communications pioneers and an independent local exchange carrier (“ILEC”), today announced that in a landmark decision by the New York State Public Service Commissi

CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT 2002

Exhibit 99 CERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT 2002 In connection with the Annual Report of Warwick Valley Telephone Company 401(k) Plan on Form 11-K for the period ending December 31, 2011 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Anthony Cipollone, Plan Administrator, Certi

- 11-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K [ X ] ANNUAL REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 1, 2011 to December 31, 2011 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number, 0-11174 WARWICK VALL

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

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) June 1, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Employer

Submission of Matters to a Vote of Security Holders - CURRENT REPORT

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): April 25, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) 0-11174 14-1160510 (Commission File No.) (I.R.S. Employer Identification No.) Ne

Regulation FD Disclosure, Financial Statements and Exhibits - CURRENT REPORT

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) April 25, 2012 WARWICK VALLEY TELEPHONE COMPANY (Exact Name of Registrant as Specified in Charter) NEW YORK 0-11174 14-1160510 (State or Other Jurisdiction of Incorporation) (Commissio

1 Annual Meeting of Shareholders April 25, 2012

1 Annual Meeting of Shareholders April 25, 2012 Annual Meeting of Shareholders Agenda April 25, 2012 • Call to Order • Statements of Rules and Procedural Matters • Appointment of the Secretary of the Meeting and Corporate Formalities • Introduction of the Board of Directors and Others • Appointment of Meeting Moderator • Presentation of Proposals Set Forth in the Proxy Statement • Shareholder Ques

Amended and Restated Warwick Valley Telephone Company 2008 Long-Term Incentive Plan

EXHIBIT 4.3 Amended and Restated Warwick Valley Telephone Company 2008 Long-Term Incentive Plan 1. Purpose The purpose of the Warwick Valley Telephone Company Amended and Restated 2008 Long-Term Incentive Plan (the “Plan”) is to assist the Company and its Affiliates in attracting, motivating and retaining selected individuals to serve as employees, directors, consultants and advisors of the Compan

- FORM S-8

As filed with the Securities and Exchange Commission on April 19, 2012 Registration No.

Maxim Growth Conference March 26, 2012 Duane W. Albro President & Chief Executive Officer (NASDAQ : WWVY)

Maxim Growth Conference March 26, 2012 Duane W. Albro President & Chief Executive Officer (NASDAQ : WWVY) Safe Harbor Statement This presentation and related discussions may contain "forward - looking statements" w ithin the meaning of Section 27 A of the Securities Act of 1933 and Section 21 E of the Securities Exchange Act of 1934 , including statements, without limitation, regarding expectation

Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K

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) March 26, 2012 Warwick Valley Telephone Company (Exact name of registrant as specified in its charter) New York 0-11174 14-1160510 (State or other jurisdiction (Commission (IRS Employe

- DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use of the Commission Only (as Permitted by Rule 14a-6(e)

ALTV / Alteva (D/B/A) / AMERIPRISE FINANCIAL INC - SCHEDULE 13G AMENDMENT NO. 1 Passive Investment

Schedule 13G Amendment No. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Amendment #1 Under the Securities and Exchange Act of 1934 Warwick Valley Telephone Co. (Name of Issuer) Common Stock (Title of Class of Securities) 936750108 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs

to Schedule 13G Joint Filing Agreement

Joint Filing Agreement Exhibit II to Schedule 13G Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G dated February 13, 2012 in connection with their beneficial ownership of Warwick Valley Telephone Co.

to Schedule 13G

Identification and Classification of the Subsidiary Exhibit I to Schedule 13G Ameriprise Financial, Inc., a Delaware Corporation, is a parent holding company. The classification and identity of the relevant subsidiaries is as follows: Investment Adviser – Columbia Management Investment Advisers, LLC is an investment adviser registered under section 203 of the Investment Advisers Act of 1940.