Attached files
| file | filename |
|---|---|
| EX-31.1 - 090331_ASB_FORM 10K-A_AMENDMENT NO 1_EX 31.1 - EKIMAS Corp | asbform10ka1_ex31-1.htm |
| EX-10.8 - 090331_ASB_FORM 10K-A_AMENDMENT NO 1_EX 10.8 - EKIMAS Corp | asbform10ka1_ex10-8.htm |
| EX-31.2 - 090331_ASB_FORM 10K-A_AMENDMENT NO 1_EX 31.2 - EKIMAS Corp | asbform10ka1_ex31-2.htm |
| EX-32.2 - 090331_ASB_FORM 10K-A_AMENDMENT NO 1_EX 32.2 - EKIMAS Corp | asbform10ka1_ex32-2.htm |
| EX-32.1 - 090331_ASB_FORM 10K-A_AMENDMENT NO 1_EX 32.1 - EKIMAS Corp | asbform10ka1_ex32-1.htm |
U.S.
SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
Form
10-K/A
(Amendment
No. 1)
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(Mark
One)
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x
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ANNUAL
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
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SECURITIES
EXCHANGE ACT OF 1934
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For
the fiscal year ended March 31, 2009
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o
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TRANSITION
REPORT UNDER SECTION 13 OR 15(d) OF THE
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SECURITIES
EXCHANGE ACT OF 1934
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For
the transition period
from to
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Commission
File No. 0-28034
AdvanSource
Biomaterials Corporation
(Name of
small business issuer in its charter)
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Delaware
(State
or other jurisdiction of
incorporation
or organization)
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04-3186647
(I.R.S.
Employer Identification No.)
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229
Andover Street, Wilmington, Massachusetts
(Address
of principal executive offices)
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01887
(Zip
Code)
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Issuer’s
telephone number (978)
657-0075
Securities
registered under Section 12(b) of the Exchange Act:
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Title
of each class
Common
Stock, $.001 par value per share
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Name
of each exchange on which registered
NYSE
Amex
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€
Securities
registered pursuant to Section 12(g) of the Act: None
Indicate
by check mark if the registrant is a well-known seasoned issuer, as defined in
Rule 405 of the Securities Act.Yes q No x
Indicate
by check mark if the registrant is not required to file reports pursuant to
Section 13 or Section 15(d) of the Act.Yes q No x
Indicate
whether the registrant (1) filed all reports required to be filed by Section 13
or 15(d) of the Exchange Act during the past 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 x No q
Indicate
by check mark whether the registrant has submitted electronically and posted on
its corporate Web site, if any, every Interactive Data File required to be
submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this
chapter) during the preceding 12 months (or for such shorter period that the
registrant was required to submit and post such files). Yes q No q (the Registrant is not
yet required to submit Interactive Data)
Indicate
by check mark if disclosure of delinquent filers pursuant to Item 405 of
Regulation S-K is not contained in this herein, and will not be contained, to
the best of registrant’s knowledge, in definitive proxy or information
statements incorporated by reference in Part III of this Form 10-K or any
amendment to this Form 10-K. x
Indicate
by check mark whether the registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting
company. See the definitions of “large accelerated filer,”
“accelerated filer” and “smaller reporting company in Rule 12b-2 of the Exchange
Act (Check one):
q Large
Accelerated
Filer q Accelerated
Filer
q Non-accelerated
Filer x Smaller
reporting company
Indicate
by check mark whether the registrant is a shell company (as defined in Rule
12b-2 of the Exchange Act).Yes
q No
x
As of
June 15, 2009, 21,128,707 shares of the registrant’s Common Stock were
outstanding. As of September 30, 2008, the aggregate market value of
the registrant’s Common Stock held by non-affiliates of the registrant (without
admitting that such person whose shares are not included in such calculation is
an affiliate) was $9,285,000 based on the last sale price as reported by the
NYSE Amex on such date.
This
Amendment No. 1 on Form 10-K/A (“Amendment No. 1”) amends our Annual Report on
Form 10-K for the fiscal year ended March 31, 2009, originally filed on June 30,
2009. We are filing this Amendment No. 1 in response to certain
comments made by the staff of the Securities and Exchange
Commission. In response to such comments, we have (i) amended Exhibit
10.8 and (ii) filed currently dated certifications of our Chief Executive
Officer and Acting Chief Financial Officer (Exhibits 31.1, 31.2, 32.1 and 32.2,
respectively), as required under Sections 302 and 906 of the Sarbanes-Oxley Act
of 2002.
Except as
described above, Amendment No. 1 restates only Exhibit 10.8 of the original
Annual Report on Form 10-K filed with the Securities and
Exchange Commission.
PART
IV
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Exhibits,
Financial Statement Schedules
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The
following are filed as part of this Form
10-K:
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(1)
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N/A
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(2)
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Exhibits
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Exhibit
Number:
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Exhibit
Title:
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10.8
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Amendment,
dated as of February 25, 2009, to Development, Supply and License
Agreement between the Company and Bard Access Systems, Inc. dated November
11, 1992.
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31.1
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Certification
of Chief Executive Officer pursuant to Section 302 Sarbanes-Oxley Act of
2002
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31.2
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Certification
of Chief Financial Officer pursuant to Section 302 Sarbanes-Oxley Act of
2002
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32.1
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Certification
of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, As Adopted
Pursuant to Section 906 of the Sarbanes-Oxley Act of
2002
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32.2
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Certification
of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, As Adopted
Pursuant to Section 906 of the Sarbanes-Oxley Act of
2002
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Pursuant
to the requirements of Section 13 or 15(d) of the Securities Exchange Act of
1934, as amended, the registrant has duly caused this report to be signed on its
behalf by the undersigned, thereunto duly authorized.
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Dated:
December 11, 2009
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AdvanSource
Biomaterials Corporation
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By:
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/s/
Michael F. Adams
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Michael
F. Adams
Chief
Executive Officer and President
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Pursuant
to the requirements of the Securities Exchange Act of 1934, this report has been
signed below by the following persons on behalf of the registrant and in the
capacities and on the dates indicated.
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Dated:
December 11, 2009
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/s/
Michael F. Adams
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Michael
F. Adams
Chief
Executive Officer and President
(Principal
Executive Officer)
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Dated:
December 11, 2009
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/s/
William J.
O’Neill
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William
J. O’Neill, Jr.
Chairman
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Dated:
December 11, 2009
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/s/
Anthony J. Armini
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Anthony
J. Armini
Director
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Dated:
December 11, 2009
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/s/
Michael L. Barretti
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Michael
L. Barretti
Director
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Dated:
December 11, 2009
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/s/
David Volpe
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David
Volpe
Acting
Chief Financial Officer
(Principal
Financial Officer and Principal Accounting Officer)
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