Attached files
| file | filename |
|---|---|
| EXCEL - IDEA: XBRL DOCUMENT - Shrink Nanotechnologies, Inc. | Financial_Report.xls |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
X .
QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended June 30, 2011
TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ___________ to _____________
Commission File Number: 000-52860
![[shrink10qa063011001.jpg]](shrink10qa063011001.jpg)
Shrink Nanotechnologies, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 20-2197964 |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
4100 Calit2 Bldg Irvine, CA 92697-2800 |
(Address of principal executive offices) |
Registrant’s telephone number, including area code:
(858) 751-7377
Securities registered pursuant to Section 12(b) of the Act:
None
Securities registered pursuant to Section 12(g) of the Act:
$.001 par value common stock
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X . No .
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes X . No .
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a small reporting company:
Large accelerated filer | . | Accelerated filer | . |
Non-accelerated filer | . (Do not check if a smaller reporting company) | Smaller reporting company | X . |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes . No X .
APPLICABLE ONLY TO CORPORATE ISSUERS
Indicate the number of shares outstanding of each of the issuer’s classes of common equity, as of the latest practicable date.
There were a total of 215,074,929 shares of the registrant’s common stock outstanding as of August 22, 2011.
Explanatory Note
The purpose of this Amendment No. 1 to the Quarterly Report on Form 10-Q of Shrink Nanotechnologies, Inc. for the quarterly period ended June 30, 2011, filed with the Securities and Exchange Commission on August 22, 2011 (the “Form 10-Q”), is solely to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 to this report provides the consolidated financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).
No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the original Form 10-Q.
Pursuant to Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.
3
PART II
Item 6. Exhibits.
Financial Statements and Schedules
The financial statements are set forth under Item 1 to this Quarterly Report. Financial statement schedules have been omitted since they are either not required, not applicable, or the information is otherwise included.
| The following exhibits are incorporated herein by reference to the following filings |
Form 10-SB | 10/19/2006 |
3.1.1 | Certificate of Incorporation |
3.1.2 | Amended and Restated Certificate of Incorporation |
3.2 | Bylaws |
Form 10-QSB | 11/14/2007 |
3.1.3 | Certificate of Designation (Series A and B Preferred Stock) |
Form 10-Q | 11/19/2008 |
10.1 | Asset Purchase Agreement, dated as of September 30, 2009, between the Company as Seller, Dao Information Systems, LLC, DAO Information Systems, Inc. and Luis J. Leung. |
10.2 | Meaux Street Partners LP $25,000 10% Convertible Promissory Note, dated July 1, 2008 |
10.3 | The Sonkei Trust $25,000 First Amended 10% Convertible Promissory Note, dated July 1, 2008 |
10.4 | September 30, 2008 Settlement Agreements with SixTech Desenvolvmento Sistemas de Informatica Ltda. |
10.5 | September 30, 2008 Settlement Agreements with David F. Rubin, DAO Information Systems, LLC., and John Burkett |
10.6 | September 30, 2008 Settlement Agreement with Luis Leung |
Form 8-K |
|
10.1 | Licensing Consent Agreement, dated as of September 30, 2008, between BCGU, LLC, the Company and Dao Information Systems, LLC |
10.2 | First Amended Licensing Consent Agreement, dated as of November 25, 2008, between BCGU, LLC, the Company and Dao Information Systems, LLC |
Form 10-K Report | 4/14/2009 |
11.1.1 | September 30, 2008 Settlement Agreements between the Company and For Goodness |
11.1.2 | September 30, 2008 Settlement Agreements between the Company and Mathew Luchak |
11.1.3 | October 1, 2008 Omnibus Settlement Agreement between the Company and Luis Leung |
11.1.4 | Second Amended License Consent Agreement dated as of November 30, 2008 between the Company and BCGU |
11.1.5 | Exhibit 3.1 March 19, 2009 Amendment to the Articles of Incorporation |
11.1.6 | March 19, 2008 Designation of Series C Preferred Stock |
11.1.7 | Code of Ethics adopted on February 10, 2006 |
11.1.8 | Share Exchange Agreement, dated as of January 15, 2009 between the Company and BCGU |
Form 8-K | 5/8/2009 |
10.1 | Debt Consolidation Agreement with Noctua Fund L.P., dated May 7, 2009 |
10.2 | $100,000 14% Secured Convertible Secured Promissory Note, issued May 7, 2009 |
Form 8-K | 5/13/2009 |
10.1 | Binding Letter of Intent to acquire Shrink Technologies, Inc., a California corporation |
Form 8-K | 5/15/2009 |
3.1 | Certificate of ownership and merger, name change to Shrink Nanotechnologies, Inc. |
Form 8-K | 6/5/2009 |
10.1 | Share Exchange Agreement between the Company, Marshall Khine and Shrink Technologies, Inc. (“Shrink”), dated as of May 29, 2009 |
10.2 | Exclusive License Agreement for Processes for Microfluidic Fabrication and Other Inventions, between the Regents of the University of California (“UC Regents”) and Shrink |
10.3 | Research Agreement, dated as of June 2008, between Shrink and UC Regents (Merced) |
10.4 | Office space sublease, between Shrink and Business Consulting Group Unlimited, Inc. |
10.5 | Operating Agreement, dated as of May 29, 2009, between Shrink and BCGU, LLC |
10.6 | Debt Consolidation Agreement, May 29, 2009, between Shrink and Noctua Fund LP |
10.7 | Note Exchange Agreement |
10.8 | Consulting Agreement with Dr. Michelle Khine |
21.1 | List of Subsidiaries of Registrant |
99.1 | Unaudited Pro Forma Financial Statements: Shrink Nanotechnologies, Inc. |
99.2 | Audited Financial Statements of Shrink Technologies, Inc. |
Form 8-K | 6/19/2009 |
3.2 | Amended and restated Bylaws of Shrink Nanotechnologies, Inc. |
Form 8-K | 6/25/2009 |
10.1 | Consulting Agreement Heiner Dreismann, dated June 22, 2009 |
4
Form 10-Q | 11/25/2009 |
10.1 | First Amended Operating Agreement |
Form 8-K | 12/29/2009 |
10.1 | First Amended Asset Purchase Agreement with Dao Information Systems, Inc., dated as of December 7, 2009 |
Form 8-K | 2/3/2010 and Amended on 4/8/2010 |
99.1 | Overview of Shrink Nanotechnologies, Inc. |
Form 10-K Report | 4/14/2010 |
3.1 | Certificate of Amendment to Articles of Incorporation |
4.1 | Form of Convertible Note 12% |
4.2 | Form of Series A Warrant |
10.1 | Subscription Agreement |
Form 8-K | 5/7/2010 |
10.1 | Sponsored Research Agreement Between the Company and The Regents of the University of California on behalf of Irvine campus dated May 3, 2010 |
10.2 | Consortium Agreement among Academic Partners and Sponsors of the Micro/Nano Fluidics Fundamentals Focus MF3 Center, effective as of June 1, 2010 |
Form 10-Q | 5/24/2010 |
10.12 | Agreement dated as of January 4, 2010, between the Company and Justin Heit |
10.13 | Consulting Agreement dated January 4, 2010, between the Company and OTC Investor Source, Inc. |
10.14 | Consulting Agreement dated as of February 15, 2010, between the Company and Andrew Simon. |
10.15 | Consulting Agreement dated as of March 1, 2010, between the Company and Andrew Boll |
10.16 | Consulting Agreement, dated April 23, 2010, between the Company and Bruce Peterson |
Form 10-Q | 8/16/2010 |
10.17 | Scientific Advisory Board Consulting Agreement, between the Company and Dr. Sayantani Ghosh |
Form 8-K | 10/18/2010 |
10.1 | Patent and Know-How License Agreement between Shrink Nanotechnologies, Inc. and Corning Incorporated, dated as of July 26, 2010 |
10.2 | Lease Agreement between Shrink Nanotechnologies, Inc. and The University of California on behalf of Irvine campus, dated as of October 1, 2010 |
Form 8-K/A | 10/25/2010 |
16.1 | Letter from Auditor, Chisholm, Bierwolf, Nilson & Morrill, LLC |
Form 10-Q/A | 11/29/2010 |
10.16 | Sponsored Research Agreement, dated as of September 14, 2010, between Shrink Nanotechnologies, Inc. and University of California, Irvine |
10.18 | Consulting Agreement between the Company and Equire, LLC. Business Financial Advisory |
Form 8-K | 12/21/2010 |
10.1 | License Agreement between BlackBox Semiconductor, Inc. and the University of Chicago, dated as of November 30, 2010 |
10.2 | Shrink Nanotechnologies, Inc. 2010 Stock Incentive Plan |
Form S-8 | 1/13/2011 |
4.1 | 2010 Stock Incentive Plan |
5.1 | Opinion of Levy International Law, LLC on legality |
23.1 | Consent of Independent Registered Public Accounting Firm |
23.2 | Consent of Levy International Law, LLC (included in Exhibit 5.1) |
24.1 | Power of Attorney (included on signature page to this Registration Statement) |
Form 8-K/A | 3/23/2011 |
10.1 | Second Amended Operating Agreement between Shrink Nanotechnologies, Inc. and BCGU, LLC |
10.2 | Extension of Research Agreement with University of California Regents, Irvine |
16.1 | Letter from Auditor, Mark Bailey & Company, Ltd. Reno Nevada |
Form 8-K | 4/12/2011 |
10.1 | Letter of Intent, dated as of March 29, 2011, between Shrink Nanotechnologies, Inc. and Nanopoint, Inc. |
Form 10-K Report | 4/15/2011 |
4.1 | Principal Balance $60,000 14% Convertible Promissory Note issued to Noctua Fund, LP |
4.2 | Principal Balance $675,000 4% Convertible Promissory Note issued to BCGU, LLC |
21.1 | Subsidiaries |
Form 8-K | 5/9/2011 |
10.1 | Development and Cooperation Agreement between Shrink Nanotechnologies, Inc. and Sony DADC Austria AG. |
5
**XBRL information is furnished and not filed for purposes of Sections 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934, and is not subject to liability under those sections, is not part of any registration statement or prospectus to which it relates and is not incorporated or deemed to be incorporated by reference into any registration statement, prospectus or other document.
6
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Date: September 6, 2011
Shrink Nanotechnologies, Inc.
By: /s/ Mark L. Baum
Mark L. Baum, Esq.
CEO and President
(Principal Executive Officer, Principal
Financial Officer and Principal Accounting
Officer)
7