U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
(First Amendment)
QUARTERLY REPORT UNDER SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended: March 31, 2019
File No. 000-55751
STEM HOLDINGS, INC.
(Name of small business issuer in our charter)
| Nevada | 61-1794883 | |
| (State or other jurisdiction of | (IRS Employer | |
| incorporation or organization) | Identification No.) |
7777 Glades Road, Suite 203
Boca Raton, FL 33434
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number:(561) 237-2931
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 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 [ ] 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 the definitions 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 [ ] (Do not check if a smaller reporting company) | 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 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 [ ] No [X]
There were 38,530,800 shares outstanding of registrant’s common stock, par value $0.001 per share, as of May 14, 2019.
Transitional Small Business Disclosure Format (check one): Yes [ ] No [X]
Explanatory Note
The purpose of this First Amendment to Stem Holdings, Inc.’s Quarterly Report on Form 10-Q for the three months ending March 31, 2019 (the “Form 10-Q”), as filed with the Securities and Exchange Commission on May 16, 2019 is to furnish Exhibits 101 to the Form 10-Q in accordance with Rule 201(c) and Rule 405 of Regulation S-T. Exhibits 101 provide the financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language). This First Amendment to the Form 10-Q also updates the Exhibit Index to reflect the furnishing of Exhibits 101.
No other changes have been made to the Form 10-Q. This First Amendment to the Form 10-Q continues to speak 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 the disclosures made in the original Form 10-Q.
Item 6. Exhibits.
Exhibit No. | Description | Filed Herewith | ||
| 31.1 | Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | * | ||
| 31.2 | Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | * | ||
| 32.1 | Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | * | ||
| 32.2 | Certification of Chief Financial Officer 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 | X | ||
| 101 SCH | XBRL Taxonomy Extension Schema Document | X | ||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | X | ||
| 101 LAB | XBRL Extension Labels Linkbase Document | X | ||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document | X | ||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | X |
| * | Filed as an exhibit to the original Form 10-Q for the quarter ended March 31, 2019, filed May 16, 2019. |
| In accordance with SEC rules, this interactive data file is deemed “furnished” and not “filed” for purposes of Sections 11 or 12 of the Securities Act of 1933 and Section 18 of the Securities and Exchange Act of 1934, and otherwise is not subject to liability under those sections or acts. |
SIGNATURES
In accordance with 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.
| STEM HOLDINGS, INC. | ||
| Date: May 20, 2019 | By: | /s/ Adam Berk |
| Adam Berk | ||
| Chief Executive Officer | ||
