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EX-32.1 - EXHIBIT 32.1 SECTION 906 CERTIFICATION - 3AM TECHNOLOGIES INCf10ka053120_ex32z1.htm
EX-31.1 - EXHIBIT 31.1 SECTION 302 CERTIFICATION - 3AM TECHNOLOGIES INCf10ka053120_ex31z1.htm

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-K/A

Amendment No. 1

 

[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended May 31, 2020

 

OR

 

[   ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

Commission File No. 333-210544

 

3AM TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)

 

Nevada

 

35-2553515

(State or other jurisdiction of incorporation or organization)

 

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

 

 

 

129 The Queensway, Barrie, ON, Canada

 

L4M 0B1

(Address of principal executive offices)

 

(Zip Code)

 

Registrant's telephone number, including area code: (702) 866-2500

 

Securities registered pursuant to Section 12(b) of the Act: None

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

 

 

 

 

Securities registered pursuant to section 12(g) of the Act:

 

Common Stock, $0.001

(Title of class)

 

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 [   ] No [X] .

 

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 (§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 [   ] No [X]

 


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Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer

[   ]

Non-accelerated filer

[X]

Accelerated filer

[   ]

Smaller reporting company

[X]

 

 

Emerging growth company

[X]

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [X]

 

Indicate by check whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

 

Yes [X] No [   ]

 

The aggregate market value of the Company’s common stock held by non-affiliates computed by reference to the closing bid price of the Company’s common stock, as of the last business day of the registrant’s most recently completed second fiscal quarter: N/A.

 

Indicate the number of shares outstanding of each of the registrant's classes of common stock, as of the latest practicable date: 7,500,000 shares of common stock, par value $0.001 per share, issued and outstanding as of September 14, 2020.

 

 

 

EXPLANATORY NOTE

 

The purpose of this Amendment No. 1 on Form 10–K/A to 3AM Technologies, Inc.’s annual report on Form 10–K for the period ended May 31, 2020, filed with the Securities and Exchange Commission on September 14, 2020 (the “Form 10–K”), is solely to furnish Exhibit 101 to the Form 10–K in accordance with Rule 405 of Regulation S–T.

 

No other changes have been made to the Form 10–K.  This Amendment No. 1 speaks as of the original filing date of the Form 10–K, 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 original Form 10–K.


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PART IV

 

Item 15. Exhibits

 

(a)Exhibits 

 

Exhibit

Number

 

Description

3.1

 

Articles of Incorporation, incorporated by reference to Exhibit 3.1 to the Company’s Registration Statement on Form S-1, as amended; filed with the SEC on April 1, 2016.

 

 

 

3.2

 

Bylaws, incorporated by reference to Exhibit 3.2 to the Company’s Registration Statement on Form S-1, as amended; filed with the SEC on September 25, 2018

 

 

 

31.1*

 

Certifications of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

 

 

32.1+

 

Certification Pursuant to 18 U.S.C. Section 1350, as 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. LAB

 

XBRL Taxonomy Extension Label Linkbase Document.

101. PRE

 

XBRL Taxonomy Extension Presentation Linkbase Document.

101. DEF

 

XBRL Taxonomy Extension Definition Linkbase Document.

 

Filed herewith 

In accordance with the SEC Release 33-8238, deemed being furnished and not filed. 

 

 


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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.

 

 

3AM TECHNOLOGIES, INC.

 

 

 

Date: October 2, 2020

By:

/s/ Simon Gee

 

 

Simon Gee

Chief Executive Officer and Chief Financial Officer

(Principal Executive Officer and Principal Financial Officer)

 

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

Name

 

Title

 

Date

 

 

 

 

 

/s/ Simon Gee

 

Chief Executive Officer and

 

October 2, 2020

Simon Gee

 

Director (Principal Executive Officer)

 

 

 

 

 

 

 

/s/ Gordoon Rious

 

 

 

 

Gordon Rioux

 

Director

 

October 2, 2020

 

/s/ Ben Hum

 

 

 

 

Ben Hum

 

Director

 

October 2, 2020

 

 

 

 

 


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