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EX-10.1 - NON-EXCLUSIVE LICENSE AGREEMENT (THE "AGREEMENT") WITH WHOLE FOODS MARKET, MEDICAL AND WELLNESS CENTERS INC DATED FEBRUARY 26, 2013. - MMRGlobal, Inc.exh10-1.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549


FORM 10-Q/A
(Amendment No. 1)

ý

 

QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE

   

SECURITIES EXCHANGE ACT OF 1934

     
   

For the quarterly period ended March 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 number: 000-51134

MMRGLOBAL, INC.
(Exact name of Registrant as Specified in Its Charter)

DELAWARE

 

33-0892797

(State or Other Jurisdiction of
Incorporation or Organization)

 

(I.R.S. Employer
Identification No.)

     

4401 WILSHIRE BLVD., SUITE 200
LOS ANGELES, CA

 

90010

(Address of Principal Executive Offices)

 

(Zip Code)

(310) 476-7002
(Registrant's Telephone Number, Including Area Code)

(Former Name, Former Address and Former Fiscal Year, if Changed Since Last Report)

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 o

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 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 o (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 o       No x

Indicate the number of shares outstanding of each of the issuer's classes of common stock, as of the latest practicable date: As of April 22, 2013, the issuer had 592,177,879 shares of common stock outstanding.



Explanatory Note

The sole purpose of this amendment on Form 10-Q/A to MMRGlobal, Inc.'s quarterly report on Form 10-Q for the period ended March 31, 2013, as originally filed with the Securities and Exchange Commission on May 15, 2013 ("the Form 10-Q"), is to furnish a corrected copy of Exhibit 10.1 to the Form 10-Q, reflecting changes to the confidential treatment request by MMRGlobal of certain items contained therein.

No other changes have been made to the Form 10-Q. This Form 10-Q/A 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 Form 10-Q.

Item 6. Exhibits

Exhibit
Number
  Exhibit Description
     
     
10.1   * Non-Exclusive License Agreement (the "Agreement") with Whole Foods Market, Medical and Wellness Centers Inc dated February 26, 2013. Portions of this Exhibit 10.1 have been omitted pursuant to a request for confidential treatment.
     
31.1   ** Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934.
     
31.2   ** Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934.
     
32.1   ** Certification of Chief Executive Officer Pursuant to Rule 13a-14(b)/15d-14(b) of the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350.
     
32.2   ** Certification of Chief Financial Officer Pursuant to Rule 13a-14(b)/15d-14(b) of the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350.
     
101.INS(1)   ** XBRL Instance Document
     
101.SCH(1)   ** XBRL Taxonomy Extension Schema Document
     
101.CAL(1)   ** XBRL Taxonomy Extension Calculation Linkbase Document
     
101.DEF(1)   ** XBRL Taxonomy Extension Definition Linkbase Document
     
101.LAB(1)   ** XBRL Taxonomy Extension Label Linkbase Document
     
101.PRE(1)   ** XBRL Taxonomy Extension Presentation Linkbase Document

______________

*

Filed herewith.

**

Previously filed on May 15, 2013, with the Quarterly Report on Form 10-Q for the quarter ended March 31, 2013.

(1)

The financial information contained in these XBRL documents is unaudited and these are not the official publicly filed financial statements of Mattson Technology. The purpose of submitting these XBRL documents is to test the related format and technology, and, as a result, investors should continue to rely on the official filed version of the furnished documents and not rely on this information in making investment decisions. In accordance with Rule 402 of Regulation S-T, the information in these exhibits shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.

25


SIGNATURES

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.

Date: August 8, 2013

MMRGlobal, Inc.

By: /s/ Robert H. Lorsch                                  
Robert H. Lorsch
Chairman, Chief Executive Officer and
President

By: /s/ Ingrid G. Safranek                                    
Ingrid G. Safranek
Chief Financial Officer

26


EXHIBIT INDEX

Exhibit
Number
  Exhibit Description
     
10.1   * Non-Exclusive License Agreement (the "Agreement") with Whole Foods Market, Medical and Wellness Centers Inc dated February 26, 2013. Portions of this Exhibit 10.1 have been omitted pursuant to a request for confidential treatment.
     
31.1   ** Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934.
     
31.2   ** Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934.
     
32.1   ** Certification of Chief Executive Officer Pursuant to Rule 13a-14(b)/15d-14(b) of the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350.
     
32.2   ** Certification of Chief Financial Officer Pursuant to Rule 13a-14(b)/15d-14(b) of the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350.
     
101.INS(1)   ** XBRL Instance Document
     
101.SCH(1)   ** XBRL Taxonomy Extension Schema Document
     
101.CAL(1)   ** XBRL Taxonomy Extension Calculation Linkbase Document
     
101.DEF(1)   ** XBRL Taxonomy Extension Definition Linkbase Document
     
101.LAB(1)   ** XBRL Taxonomy Extension Label Linkbase Document
     
101.PRE(1)   ** XBRL Taxonomy Extension Presentation Linkbase Document

______________

*

Filed herewith.

**

Previously Filed.

(1)

The financial information contained in these XBRL documents is unaudited and these are not the official publicly filed financial statements of Mattson Technology. The purpose of submitting these XBRL documents is to test the related format and technology, and, as a result, investors should continue to rely on the official filed version of the furnished documents and not rely on this information in making investment decisions. In accordance with Rule 402 of Regulation S-T, the information in these exhibits shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liability of that section, and shall not be incorporated by reference into any registration statement or other document filed under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.