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EX-31.1 - EXHIBIT 31.1 - HYBRID Coating Technologies Inc.exhibit31-1.htm
EX-32.1 - EXHIBIT 32.1 - HYBRID Coating Technologies Inc.exhibit32-1.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM 10-K/A

[X] Annual Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934

FOR THE YEAR ENDED December 31, 2012 OR

[   ] 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 000-53459

HYBRID COATING TECHNOLOGIES INC.
(Exact name of registrant as specified in its charter)

NEVADA 20-3551488
(State of other jurisdiction of incorporation or (IRS Employer Identification Number)
organization)  

950 John Daly Blvd. Suite 260
Daly City, CA 94015
(Address of principal executive offices)

(650) 491-3449
(Registrant’s telephone number, including area code)

Securities registered under Section 12(b) of the Exchange Act: None

Securities registered under Section 12(g) of the Exchange Act:

Common Stock, $ 0.001 par value

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 Section 15(d) of the Act.
Yes [   ]     No [X]

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 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 the 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, a non-accelerated filer or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

Large accelerated filer [   ]           Accelerated filer [   ]           Non-accelerated filer [   ]           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]

The aggregate market value of the voting stock held by non-affiliates of the registrant was approximately $2,933,034 based on the closing price of $0.50 for the common stock on June 29, 2012, the last business day of the registrant’s most recently completed second fiscal quarter.

Number of shares outstanding of the registrant’s class of common stock, as of April 15, 2013 was 6,577,568.


EXPLANATORY NOTE

The sole purpose of this Amendment No. 1 to HYBRID Coating Technologies Inc.’s Form 10-K/A for the period ended December 31, 2012, filed with the Securities and Exchange Commission on April 17, 2013 (the “Form 10-K/A”), is to make the following two changes:

  (1)

 to amend the wording in Item 9A( T) on page 26 adding a conclusion on the effectiveness of our disclosure controls and procedures in accordance with Item 307 of Regulation S-K. as follows:

Under the supervision and with the participation of our management, including our President and Chief Executive Officer, who also acts as our principal financial officer, an evaluation was performed on the effectiveness of the design and operation of our disclosure controls and procedures as of the end of the period covered by this annual report. Based on that evaluation, our President and Chief Executive Officer, concluded that our disclosure controls and procedures were not effective as of the end of the period covered by this annual report for the purpose of gathering, analyzing and disclosing of information that the Company is required to disclose in the reports it files under the Exchange Act within the time periods specified in the SEC’s rules and forms. The Company has undertaken steps to remedy this and improve the effectiveness of its disclosure controls and procedures.

  (2)

to amend the Section 306 certification in Exhibit 31.1

No other changes have been made to the Form 10-K/A. This Amendment No. 1 to the Form 10-K/A speaks as of the original filing date of the Form 10-K/A, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way the disclosures made in the original Form 10-K/A.
 


ITEM 15. EXHIBITS

Exhibit   Description of Exhibits
Number    
3.1  

Amended Articles of Incorporation. (1)

3.2  

Bylaws, as amended. (1)

3.3  

Certificate of Amendment to Articles of Incorporation (2)

4.1  

Convertible Debenture Agreement dated April 29, 2011 Pursuant to Regulation D (6)

4.2  

Convertible Debenture Agreement dated April 29, 2011 Pursuant to Regulation S (6)

10.1

Stock Purchase Agreement, dated August 18, 2010, by and among Nanotech Industries International Inc. and EPOD Solar Inc. (3)

10.2

Licensing Agreement between Nanotech Industries International Inc and Nanotech Industries Inc. dated July 12, 2010 (4)

10.3  

Amendment to the Licensing Agreement previously entered into on the 12th day of July, 2010 (5)

10.4  

Securities Purchase Agreement dated April 29, 2011 Pursuant to Regulation D (6)

10.5  

Securities Purchase Agreement dated April 29, 2011 Pursuant to Regulation S (6)

10.6  

Warrant Agreement dated April 29, 2011 Pursuant to regulation D (6)

10.7  

Warrant Agreement dated April 29, 2011 Pursuant to regulation S (6)

10.8

Amendment to articles of incorporation to change the name of the company to “Hybrid Coating Technologies Inc.” (7)

10.9  

Approval and adoption of the 2011 Stock Incentive Plan (7)

10.10

Second Amendment to the Licensing Agreement previously entered into on the 12th day of July, 2010 (8)

10.11

Licensing Agreement between Nanotech Industries International Inc and Nanotech Industries Inc. dated October 18, 2011 (9)

10.12  

Convertible Debenture Agreement Dated February 21, 2012 (10)

31.1

Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

32.1

Certification of Principal Executive Officer and Principal Financial Officer 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.

(1) Incorporated by reference to the Registration Statement on Form S-1 (File No. 333-153675), filed with the SEC on September 26, 2008.
(2) Incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 22, 2009.
(3) Incorporated by reference to the Current Report on Form 8-K filed with the SEC on August 30, 2010.
(4) Incorporated as reference to the Current Report on Form 8-K filed with the SEC on August 30, 2010
(5) Incorporated as reference to the Current Report on Form 8-K filed with the SEC on March 14, 2011
(6) Incorporated as reference to the Current Report on Form 8-K filed with the SEC on May 3, 2011
(7) Incorporated as reference to the Schedule 14C filed with the SEC on July 6, 2011
(8) Incorporated as reference to the Current Report on Form 8-K filed with the SEC on July 7, 2011
(9) Incorporated as reference to the Current Report on Form 8-K filed with the SEC on October 18, 2011
(10) Incorporated as reference to the Current Report on Form 8-K filed with the SEC on February 21, 2012


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: December 9, 2013 HYBRID COATING TECHNOLOGIES INC
  (Registrant)
     
  By: /s/ Joseph Kristul
    Name: Joseph Kristul
    Title: President and Chief Executive Officer
    (Principal Executive, Financial and Accounting
    Officer)

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.

Signature   Title   Date
         
/s/ Joseph Kristul       December 9, 2013
Joseph Kristul   President and Chief Executive Officer,
  (Principal executive officer principal financial and accounting officer)
         
         
         
/s/ Alex Trossman       December 9, 2013
Alex Trossman   Director