Attached files
| file | filename |
|---|---|
| EX-10 - EMPLOYMENT AGREEMENT OF DAVID W. FLOOR - Oakridge Global Energy Solutions, Inc. | flooroakridgeemploymentagree.htm |
| EX-10 - SETTLEMENT AGREEMENT - Oakridge Global Energy Solutions, Inc. | settlementagreementoakridgel.htm |
| EX-31 - 302 CERTIFICATION OF STEPHEN J. BARBER - Oakridge Global Energy Solutions, Inc. | ex31qa.htm |
| EX-32 - 906 CERTIFICATION OF STEPHEN J. BARBER - Oakridge Global Energy Solutions, Inc. | ex32qa.htm |
| EX-10 - SILVERON CAPITAL PARTNERS FINANCIAL SERVICES AGREEMENT - Oakridge Global Energy Solutions, Inc. | oakridgesilveronengagementle.htm |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A-1
[X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 2013
[ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT
For the transition period from ____________ to____________
Commission File No. 000-50032
OAK RIDGE ENERGY TECHNOLOGIES, INC.
(Exact name of Registrant as specified in its charter)
| Colorado | 94-3431032 |
| (State or Other Jurisdiction of | (I.R.S. Employer Identification No.) |
| incorporation or organization) |
|
3046 East Brighton Place
Salt Lake City, UT 84121
(Address of Principal Executive Offices)
(801) 201-7635
(Registrant’s Telephone Number, including area code)
Oak Ridge Micro-Energy, Inc.
(Former name, former address and former fiscal year,
if changed since last report)
Indicate by check mark whether the Registrant has (1) 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 (§232.405 of this chapter) 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 smaller reporting company. See definition of “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]
Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).
Yes [ ] No [X]
Outstanding Shares
Indicate the number of shares outstanding of each of the Registrant’s classes of common stock, as of the latest practicable date: November 18, 2013 – 113,888,888 shares of common stock (does not include shares issuable that are outlined in Note 9 of the Registrant’s Condensed Consolidated Financial Statements that are included in this Quarterly Report, and which shares are also referenced in Part II, Item 2).
FORWARD-LOOKING STATEMENTS
In this Quarterly Report on Form 10-Q, references to “Oak Ridge,” the “Company,” “we,” “us,” “our” and words of similar import refer to Oak Ridge Energy Technologies, Inc., a Colorado corporation and its subsidiaries, Oak Ridge Micro-Energy, Inc., a Nevada corporation (“Oak Ridge Nevada”), and Carbon Strategic Pte Ltd, a Singapore corporation (“Carbon Strategic”), unless the context requires otherwise.
This Quarterly Report contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). In some cases, you can identify forward-looking statements by the following words: “anticipate,” “believe,” “continue,” “could,” “estimate,” “expect,” “intend,” “may,” “ongoing,” “plan,” “potential,” “predict,” “project,” “should,” “will,” “would,” or the negative of these terms or other comparable terminology, although not all forward-looking statements contain these words. Forward-looking statements are not a guarantee of future performance or results, and will not necessarily be accurate indications of the times at, or by, which such performance or results will be achieved. Forward-looking statements are based on information available at the time the statements are made and involve known and unknown risks, uncertainties and other factors that may cause our results, levels of activity, performance or achievements to be materially different from the information expressed or implied by the forward-looking statements in this Quarterly Report. These factors include, but are not limited to, economic conditions generally in the United States and internationally, and in the industry and markets in which we have and may participate in the future, competition within our chosen industry, our current and intended business, our assets and plans, the effect of applicable United States and foreign laws, rules and regulations and our failure to successfully develop, compete in and finance our current and intended business operations.
You should read any other cautionary statements made in this Quarterly Report as being applicable to all related forward-looking statements wherever they appear in this Quarterly Report. We cannot assure you that the forward-looking statements in this Quarterly Report will prove to be accurate, and therefore, prospective investors are encouraged not to place undue reliance on forward-looking statements. You should read this Quarterly Report completely, and it should be considered in light of all other information contained in the reports or registration statement that we file with the Securities and Exchange Commission, including all risk factors outlined therein. Other than as required by law, we undertake no obligation to update or revise these forward-looking statements, even though our situation may change in the future.
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Explanatory Note
We are amending our Quarterly Report for the quarter ended September 30, 2013, to add the three material contracts that were erroneously omitted from the previous filing.
Item 6 Exhibits.
Exhibit No. Identification of Exhibit
1.
Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed “furnished” and not “filed” or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, or deemed “furnished” and not “filed” for purposes of Section 18 of the Securities and Exchange Act of 1934, and otherwise are not subject to liability under these sections.
2.
These files were previously filed with our Quarterly Report on Form 10Q for the quarter ended September 30, 2013, with the Securities and Exchange Commission on November 19, 2013.
Current Report on Form 8-K dated August 1, 2013, and filed with the Securities and Exchange Commission on August 22, 2013, regarding the appointment of Craig Nelson as CTO.
Current Report dated July 1, 2013, and filed with the Securities and Exchange Commission on July 8, 2013, regarding the sale of 13,888,888 shares of our common stock comprised of “restricted securities” and the designation of Messrs. Oishi and Urban to our Board of Directors.
Current Report on Form 8-K dated February 1, 2013, and filed with the Securities and Exchange Commission on February 7, 2013, regarding the services of Mesdi Systems Incorporated outlined in Part I, Item 2.
Current Report on Form 8-K dated December 21, 2012, and filed with the Securities and Exchange Commission on December 31, 2012, regarding the litigation outlined in Part II, Item 1.
Current Report on Form 8-K dated October 2, 2012, and filed with the Securities and Exchange Commission on October 9, 2012, and the amended Current Reports on Form 8-K/A filed with the Securities and Exchange Commission on October 12, 2012, December 31, 2012, and April 18, 2013, regarding the acquisition of Carbon Strategic Pte Ltd, a Singapore corporation.
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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
Oak Ridge Energy Technologies, Inc.
| Date: | April 7, 2014 |
| By: | /s/Stephen J. Barber |
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| Stephen Barber, CEO, Acting CFO and Director |
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