Attached files
| file | filename |
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| EXCEL - IDEA: XBRL DOCUMENT - Kior Inc | Financial_Report.xls |
Table of Contents
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-Q/A
Amendment No. 1
(Mark One)
| þ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended June 30, 2011
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 Number: 001-35213
KiOR, INC.
(Exact name of registrant as specified in its charter)
| Delaware | 51-0652233 | |
| (State or other jurisdiction of | (I.R.S. Employer | |
| incorporation or organization) | Identification No.) |
| 13001 Bay Park Road | ||
| Pasadena, Texas | 77507 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code:
(281) 694-8700
(281) 694-8700
Former name, former address and former fiscal year, if changed since last report: Not
applicable
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 o No þ
Indicate by check mark whether the registrant has submitted electronically and posted on its
corporate website, 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 þ No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large
accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the
Exchange Act.
| Large accelerated filer o | Accelerated filer o | Non-accelerated filer þ | Smaller reporting company o | |||
| (Do not check if a 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 o No þ
The number of shares outstanding of the registrant’s classes of common stock, as of the close
of business on August 10, 2011, is set forth below:
| Class | Amount Outstanding | |
Class A Common Stock, par value $0.0001 per share |
40,099,369 | |
Class B Common Stock, par value $0.0001 per share |
61,848,696 |
Table of Contents
EXPLANATORY NOTE
This Amendment No. 1 to our Quarterly Report on Form 10-Q for the quarter ended June 30, 2011,
filed with the Securities and Exchange Commission on August 15, 2011 (the “Original Filing”), is
filed solely to furnish our XBRL (eXtensible Business Reporting Language) interactive data files in
Exhibit 101 as required by Rule 405 of Regulation S-T.
No other part of the Original Filing is amended hereby, and this amendment does not reflect events
that have occurred after the date of the Original Filing, nor does it or modify or update in any
way disclosures made in the Original Filing.
Pursuant to Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 are deemed not
filed or part of a registration statement or prospectus for the purposes of Sections 11 and 12 of
the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the
Securities and Exchange Act of 1934, as amended, and otherwise are not subject to liability under
those sections.
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TABLE OF CONTENTS
Table of Contents
| ITEM 6. | Exhibits |
See the Exhibit Index accompanying this Quarterly Report.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly
caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| KiOR, Inc. |
||||
| By: | /s/ John H. Karnes | |||
| John H. Karnes | ||||
| Chief Financial Officer (Principal Financial Officer) |
||||
Date: September 14, 2011
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Table of Contents
EXHIBIT INDEX
| Incorporated by Reference | ||||||||||||||||
| Exhibit | SEC | Filed | ||||||||||||||
| No. | Exhibit Description | Form | File No. | Exhibit | Filing Date | Herewith | ||||||||||
| 3.1 | Amended and Restated Certificate of Incorporation of KiOR, Inc.
|
S-8 | 333-175220 | 4.1 | June 29, 2011 | |||||||||||
| 3.2 | Amended and Restated Bylaws of KiOR, Inc.
|
S-8 | 333-175220 | 4.2 | June 29, 2011 | |||||||||||
| 4.1 | Preferred Stock Purchase Warrant issued June 6, 2011 to Lighthouse Capital Partners VI, L.P.
|
S-1 | 333-173440 | 4.15 | June 10, 2011 | |||||||||||
| 4.2 | Preferred Stock Purchase Warrant issued June 6, 2011 to Lighthouse Capital Partners VI, L.P.
|
S-1 | 333-173440 | 4.16 | June 10, 2011 | |||||||||||
| 4.3 | Preferred Stock Purchase Warrant issued June 6, 2011 to Leader Lending, LLC.
|
S-1 | 333-173440 | 4.17 | June 10, 2011 | |||||||||||
| 10.1 | Feedstock Supply Agreement, dated as of May 27, 2011, between Catchlight Energy LLC and KiOR Columbus LLC.
|
S-1 | 333-173440 | 10.11 | June 10, 2011 | |||||||||||
| 10.2 | † | 2011 Long-Term Incentive Plan.
|
10-Q | 001-35213 | 10.2 | August 15, 2011 | ||||||||||
| 10.3 | † | Form of Indemnification Agreement.
|
S-1 | 333-173440 | 10.8 | May 18, 2011 | ||||||||||
| 31.1 | Rule 13a-14(a)/15d-14(a) Certification of Fred Cannon (Principal Executive Officer)
|
10-Q | 001-35213 | 31.1 | August 15, 2011 | |||||||||||
| 31.2 | Rule 13a-14(a)/15d-14(a) Certification of John Karnes (Principal Financial Officer)
|
10-Q | 001-35213 | 31.2 | August 15, 2011 | |||||||||||
| 32.1 | Section 1350 Certification of Fred Cannon (Principal Executive Officer) and John Karnes (Principal Financial Officer)
|
10-Q | 001-35213 | 32.1 | August 15, 2011 | |||||||||||
| 101 | * | The following materials from KiOR, Inc.’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2011,
formatted in XBRL (eXtensible Business Reporting Language); (i) Condensed Consolidated Balance Sheets, (ii)
Condensed Consolidated Statements of Operations, (iii) Condensed Consolidated Statements of Cash Flows, (iv)
Condensed Consolidated Statements of Convertible Preferred Stock and Stockholders’ Equity (Deficit) and (v) Notes to
the Condensed Consolidated Financial Statements
|
X | |||||||||||||
| † | Management contracts or compensatory plans or arrangements. |
|
| * | Pursuant to Rule 406T of Regulation S-T, the interactive 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, and are deemed not filed for purposes of
Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject
to liability under those sections |
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