UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________________________
Form 10-Q/A
Amendment No. 1
____________________________________
x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the Quarterly Period Ended April 30, 2021
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: 333-194144
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VAULTED GOLD BULLION TRUST
(Exact name of registrant as specified in its charter)
____________________________________
Delaware | 46-7176227 |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
c/o Bank of Montreal
3 Times Square
New York, New York 10036
Attention: Legal Department
(Address of principal executive offices)
(212) 885-4000
(Registrant’s telephone number, including area code)
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 |
Not applicable | Not applicable | Not applicable |
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 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 o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, 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.
Large accelerated filer o | Accelerated filer o | |
Non-accelerated filer x |
Smaller reporting company o 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 mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x
As of April 30, 2021, there were 1,186 Gold Deposit Receipts outstanding.
VAULTED GOLD BULLION TRUST
EXPLANATORY NOTE
The sole purpose of this Amendment No. 1 to Vaulted Gold Bullion Trust’s Quarterly Report on Form 10-Q for the quarterly period ended April 30, 2021, filed with the Securities and Exchange Commission on June 14, 2021 (the “Form 10-Q”), is to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T. Exhibit 101 provides the consolidated financial statements and related notes from the Form 10-Q formatted in eXtensible Business Reporting Language (“XBRL”) and consists of the following XBRL interactive data files that were omitted from the Form 10-Q:
101.INS | XBRL Instance File | |
101.SCH | XBR Schema File | |
101.CAL | XBRL Calculation File | |
101.DEF | XBRL Definition File | |
101.LAB | XBRL Label File | |
101.PRE | XBRL Presentation File |
No other changes have been made to the Form 10-Q. This Amendment No. 1 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 original Form 10-Q.
In accordance with Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under these sections.
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PART II. OTHER INFORMATION
Item 12. Exhibits
Exhibit No.
|
Description |
1.1 | |
1.2 | |
10.1 | |
31.1 |
Certifications pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.* |
32.1 | |
101.INS | XBRL Instance File** |
101.SCH | XBR Schema File** |
101.CAL | XBRL Calculation File** |
101.DEF | XBRL Definition File** |
101.LAB | XBRL Label File** |
101.PRE | XBRL Presentation File** |
* Previously included in the registrant’s Form 10-Q for the quarterly period ended April 30, 2021, filed with the Securities and Exchange Commission on June 14, 2021.
** Furnished with this Form 10-Q/A. In accordance with Rule 406T of Regulation S-T, the interactive data files on Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for the purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise are not subject to liability under these sections.
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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 in the capacities thereunto duly authorized.
BANK OF MONTREAL | |
Initial Depositor of the Vaulted Gold Bullion Trust | |
(Registrant) | |
Date: June 15, 2021 | /s/ Rob Yeung |
*Head, Global EFS | |
BMO Capital Markets | |
Date: June 15, 2021 | /s/ Neil Puddicombe |
*Assistant Corporate Secretary |
__________
* The Registrant is a trust and the persons are signing in their capacities as officers of Bank of Montreal, the Initial Depositor of the Registrant.
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