Attached files
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EX-31.2 - EXHIBIT 31.2 - HK GRAPHENE TECHNOLOGY CORP | v309603_ex31-2.htm |
EX-32.1 - EXHIBIT 32.1 - HK GRAPHENE TECHNOLOGY CORP | v309603_ex32-1.htm |
EX-31.1 - EXHIBIT 31.1 - HK GRAPHENE TECHNOLOGY CORP | v309603_ex31-1.htm |
EX-32.2 - EXHIBIT 32.2 - HK GRAPHENE TECHNOLOGY CORP | v309603_ex32-2.htm |
EXCEL - IDEA: XBRL DOCUMENT - HK GRAPHENE TECHNOLOGY CORP | Financial_Report.xls |
U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K/A
Amendment No. 1
(Mark One)
S | ANNUAL REPORT PURSUANT TO UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For Fiscal Year Ended: December 31, 2011
OR
£ | TRANSITION REPORT PURSUANT TO UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from _______________ to _______________
Commission file number: 333-140148
Loreto Resources Corporation | |||
(Exact name of registrant as specified in its charter) | |||
Nevada | 20-5308449 | ||
(State or other jurisdiction of incorporation or organization) | (IRS Employer Identification No.) | ||
c/o Gottbetter & Partners, LLP 488 Madison Avenue, 12th Floor New York, NY |
10022 | ||
(Address of principal executive offices) | (Postal Code) |
Registrant’s telephone number: (212) 400-6900
Securities registered under Section 12(b) of the Act: None
Securities registered under 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 ¨ No x
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Exchange Act. Yes x No ¨
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the preceding 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 ¨
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained 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. ¨
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or a smaller reporting company. See the definitions of the “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act:
Large Accelerated Filer ¨ | Accelerated Filer ¨ |
Non-Accelerated Filer ¨ | Smaller reporting company x |
(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 x No ¨
On June 30, 2011, there were 70,298,322 shares of the registrant's common stock, par value $0.001, issued and outstanding. Of these, 40,680,000 shares were held by non-affiliates of the registrant. The market value on June 30, 2011 of those shares held by non-affiliates was $10,170,000, based on the price of $0.25 per share (split-adjusted) for the registrant’s common stock which was sold in a private placement that closed initially on September 9, 2008. Shares of common stock held by each officer and director have been excluded from this calculation because such persons may be deemed to be affiliates. This determination of officer or affiliate status is not necessarily a conclusive determination for other purposes
DOCUMENTS INCORPORATED BY REFERENCE
Not Applicable.
Explanatory Note
The purpose of this Amendment No. 1 to our Annual Report on Form 10-K for the period ended December 31, 2011, as filed with the Securities and Exchange Commission on April 16, 2012, is to furnish Exhibits 101 to the Form 10-K as required by Rule 405 of Regulation S-T.
No changes have been made to the Annual Report other than the furnishing of Exhibit 101.INS, 101.SCH, 101.CAL, 101.DEF, 101.LAB and 101.PRE described above. This Amendment No. 1 to Form 10-K does not reflect subsequent events occurring after the original filing date of the Form 10-K or modify or update in any way disclosures made in the Form 10-K.
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PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
Financial Statement Schedules
The consolidated financial statements of Loreto Resources Corporation are listed on the Index to Financial Statements on this annual report on Form 10-K beginning on page F-1.
Exhibits
The following Exhibits are being filed with this Annual Report on Form 10-K:
Exhibit No. |
SEC
Report |
Description | |||
3.1 | 3.1 | Amended and Restated Articles of Incorporation of Registrant as filed with the Nevada Secretary of State on July 3, 2008 (1) | |||
3.2 | 3.2 | By-Laws of Registrant (2) | |||
3.3 | 3.3 | Form of 2010 10% Convertible Promissory Note (3) | |||
3.4 | 3.4 | Form of 2011 10% Convertible Promissory Note (3) | |||
3.5 | 3.5 | Form of 2012 10% Convertible Promissory Note (4) | |||
10.1 | 10.1 |
Employment Agreement dated July 21, 2008 by and between Loreto Resources Corporation and Luis F. Saenz (5) | |||
10.2 | 10.1 |
Contract Termination Agreement between the Registrant and Luis F. Saenz dated May 5, 2010 (5) | |||
10.3 | 10.2 |
Stock Option Agreement dated July 21, 2008 between Loreto Resources Corporation and Luis F. Saenz (6) |
|||
10.4 | 10.1 |
Form of 2008 Common Stock Subscription Agreement (7) |
|||
10.5 | 10.4 | 2008 Equity Incentive Plan (8) | |||
10.6 | 10.6 |
Form of Subscription Agreement between the Registrant and each subscriber in the 2010 10% convertible notes private placement offering (3) |
|||
10.7 | 10.7 | Form of Subscription Agreement between the Registrant and each subscriber in the 2011 10% convertible notes private placement offering (3) | |||
10.8 | 10.8 | Form of Subscription Agreement between the Registrant and each subscriber in the 2012 10% convertible notes private placement offering (4) | |||
14.1 | 14 | Code of Ethics (9) | |||
21 | 21 | List of Subsidiaries(4) | |||
31.1 | * |
Certification of Interim Principal Executive Officer, pursuant to SEC Rules 13a-14(a) and 15d-14(a), adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
|||
31.2 | * | Certification of Interim Principal Financial Officer, pursuant to SEC Rules 13a-14(a) and 15d-14(a), adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | |||
32.1 | * |
Certification of Interim Chief Executive Officer, pursuant to 18 U.S.C. Section 1350, adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002** |
|||
32.2 | * |
Certification of Interim Chief Financial Officer, pursuant to 18 U.S.C. Section 1350, adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002** |
|||
101.INS | * | XBRL Instance Document*** | |||
101.SCH | * | XBRL Taxonomy Extension Schema Document*** | |||
101.CAL | * | XBRL Taxonomy Extension Calculation Linkbase Document*** | |||
101.DEF | * | XBRL Taxonomy Extension Definition Linkbase Document*** | |||
101.LAB | * | XBRL Taxonomy Extension Label Linkbase Document*** | |||
101.PRE | * | XBRL Taxonomy Extension Presentation Linkbase Document*** |
____________________
* Filed herewith.
** This certification is being furnished and shall not be deemed “filed” with the SEC for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, and shall not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the Registrant specifically incorporates it by reference.
*** Furnished herewith. Pursuant to Rule 406T of Regulation S-T, the Interactive Data Files on Exhibit 101 hereto are deemed not filed or part of any registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, are deemed not filed for purposes of Section 18 of the Securities and Exchange Act of 1934, and otherwise are not subject to liability under those sections.
(1) | Filed with the SEC on July 10, 2008 as an exhibit, numbered as indicated above, to the Registrant’s current report (SEC File No. 333-140148) on Form 8-K, which exhibit is incorporated herein by reference. |
(2) | Filed with the SEC on January 23, 2007 as an exhibit, numbered as indicated above, to the Registrant’s registration statement (SEC File No. 333-140148) on Form SB-2, which exhibit is incorporated herein by reference. |
(3) | Filed with the SEC on April 12, 2011 as an exhibit, numbered as indicated above, to the Registrant’s annual report (SEC File No. 333-140148) on Form 10-K, which exhibit is incorporated herein by reference. |
(4) | Filed with the SEC on April 16, 2012 as an exhibit, numbered as indicated above, to the Registrant’s annual report (SEC File No. 333-140148) on Form 10-K, which exhibit is incorporated herein by reference. |
(5) | Filed with the SEC on August 20, 2010 as an exhibit, numbered as indicated above, to the Registrant’s quarterly report (SEC File No. 333-140148) on Form 10-Q, which exhibit is incorporated herein by reference. |
(6) | Filed with the SEC on July 24, 2008 as an exhibit, numbered as indicated above, to the Registrant’s current report (SEC File No. 333-140148) on Form 8-K, which exhibit is incorporated herein by reference. |
(7) | Filed with the SEC on September 15, 2008 as an exhibit, numbered as indicated above, to the Registrant’s current report (SEC File No. 333-140148) on Form 8-K, which exhibit is incorporated herein by reference. |
(8) | Filed with the SEC on April 14, 2009 as an exhibit, numbered as indicated above, to the Registrant’s annual report (SEC File No. 333-140148) on Form 10-K, which exhibit is incorporated herein by reference. |
(9) | Filed with the SEC on March 31, 2008 as an exhibit, numbered as indicated above, to the Registrant’s annual report (SEC File No. 333-140148) on Form 10-KSB, which exhibit is incorporated herein by reference. |
-3- |
In reviewing the agreements included as exhibits and incorporated by reference to this Annual Report on Form 10-K, please remember that they are included to provide you with information regarding their terms and are not intended to provide any other factual or disclosure information about the Company or the other parties to the agreements. The agreements may contain representations and warranties by each of the parties to the applicable agreement. These representations and warranties have been made solely for the benefit of the parties to the applicable agreement and:
• | should not in all instances be treated as categorical statements of fact, but rather as a way of allocating the risk to one of the parties if those statements prove to be inaccurate; |
• | have been qualified by disclosures that were made to the other party in connection with the negotiation of the applicable agreement, which disclosures are not necessarily reflected in the agreement; |
• | may apply standards of materiality in a way that is different from what may be viewed as material to you or other investors; and |
• | were made only as of the date of the applicable agreement or such other date or dates as may be specified in the agreement and are subject to more recent developments. |
Accordingly, these representations and warranties may not describe the actual state of affairs as of the date they were made or at any other time. Additional information about the Company may be found elsewhere in this Annual Report on Form 10-K and the Company’s other public filings, which are available without charge through the SEC’s website at http://www.sec.gov.
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SIGNATURES
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.
LORETO RESOURCES CORPORATION
Dated: April 18, 2012
By: /s/ Adam Zive
Adam Zive, Interim Chief Executive Officer
Dated: April 18, 2012
By: /s/ Luis F. Saenz
Luis F. Saenz, Interim Chief Financial Officer
In accordance with the Exchange Act, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
SIGNATURE |
TITLE |
DATE |
/s/ Adam Zive Adam Zive |
Director |
April 18, 2012 |
/s/ Luis F. Saenz Luis F. Saenz |
Director |
April 18, 2012 |
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