UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A-1
:
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended October 31, 2011
☐
TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission file number 1-17378
VITRO DIAGNOSTICS, INC.
(Exact name of small business issuer as specified in its charter)
| | |
Nevada | | 84-1012042 |
(State or other jurisdiction of incorporation or organization) | | (I.R.S. Employer Identification No.) |
| | |
4621 Technology Drive, Golden, Colorado | | 80403 |
(Address of principal executive offices) | | (Zip Code) |
(303) 999-2130
(Issuer's telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Exchange Act:
|
Common Stock, $.001 par value |
(Title of each class) |
Securities registered pursuant to Section 12(g) of the Exchange Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act
[___] Yes [__x_] No
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act. Yes [___] No [_x_]
Note – Checking the box above will not relieve any registrant required to file reports pursuant to Section 13 or 15(d) of the Exchange Act from their obligations under those Sections.
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 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 [ ]
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of 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 definition 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 [___] (Do not check if a smaller reporting company)
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 [_x_] No
State issuer's revenue for its most recent fiscal year: $22,999.
The aggregate market value of the 12,836,677 shares of voting stock held by non-affiliates of the Company at January 24, 2012, calculated by taking the last sales price of the Company's common stock of $0.04 on January 12, 2012 was $513,467.08.
The number of shares outstanding of the issuer’s common equity as of January 24, 2012 was 18,528,995.
DOCUMENTS INCORPORATED BY REFERENCE
List hereunder the following documents if incorporated by reference and the Part of the Form 10-K (e.g.,Part I, Part II, etc.) into which the document is incorporated: (1) Any annual report to security holders; (2) Any proxy or information statement; and (3) Any prospectus filed pursuant to Rule 424(b) or (c) under the Securities Act of 1933. The listed documents should be clearly described for identification purposes
Exhibits
See Part IV, Item 15.
EXPLANATORY NOTE
This Amendment No. 1 (this “Amendment”) to the Annual Report on Form 10-K for the period ended October 31, 2011 (the “Form 10-K”) of Vitro Diagnostics, Inc. is being filed for the purpose of furnishing Exhibit 101 to the Form 10-K in accordance with Rule 405 of Regulation S-T. Exhibit 101 to this report provides the consolidated financial statements and related notes from the Form 10-K formatted in eXtensible Business Reporting Language (“XBRL”).
Pursuant to 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 those sections.
No attempt has been made in this Amendment to modify or update the other disclosures presented in the Form 10-K. This Amendment does not reflect events occurring after the filing of the Form 10-K (i.e., occurring after February 13, 2012) or modify or update those disclosures that may be affected by subsequent events. Such subsequent matters are addressed in subsequent reports filed by the registrant with the SEC. Accordingly, this Amendment should be read in conjunction with the Form 10-K and the registrant’s other filings with the SEC.
PART IV
ITEM 15.
EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
The following is a list of exhibits filed or incorporated by reference into this Report:
| |
No. | Description |
1 | Not applicable. |
2 | Not applicable. |
3.1.1(1) | Articles of Incorporation of the Company as filed March 31, 1986 with the Nevada Secretary of State. |
3.1.2(2) | Certificate of Merger of Domestic and Foreign Corporations as filed December 17, 1986 with the Nevada Secretary of State. |
3.1.3(3) | Certificate of Amendment of Articles of Incorporation as filed February 6, 1987 with the Nevada Secretary of State. |
3.1.4(2) | Certificate of Amendment of Articles of Incorporation as filed May 18, 1988 with the Nevada Secretary of State. |
3.1.5(4) | Amended and Restated Articles of Incorporation of the Company , as filed July 20, 2001 with the Nevada Secretary of State |
3.2(3) | Bylaws of the Company. |
4.1(3) | Specimen certificate for Common Shares, $.001 par value per share. |
9 | Not applicable. |
10.1(5) | Equity Incentive Plan dated October 9, 2000 |
10.2 | Promissory note issued by the Company to James R. Musick dated October 31, 2007. |
10.3(6) | Executive Employment Agreement between the Company and James R. Musick dated April 1, 2005. |
10.4(7) | Common Stock and Warrant Purchase Agreement |
10.5(8) | Form of Class A Warrant Agreement |
10.6(9) | License Agreement with James T. Posillico, Ph.D. |
| |
10.7(10) | Amendment No. 1 to License Agreement with James T. Posillico, Ph.D. |
11 | Not applicable. |
13 | Not applicable. |
14 | Not applicable. |
16 | Not applicable. |
18 | Not applicable. |
20 | Not applicable. |
21 | Not applicable. |
22 | Not applicable |
23 | Not applicable. |
24 | Not applicable. |
31.1* | Certification pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as amended. |
32* | Certifications pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
99 | Not applicable. |
| | |
101.INS* | | XBRL Instance Document |
101.SCH* | | XBRL Schema Document |
101.CAL* | | XBRL Calculation Linkbase Document |
101.LAB* | | XBRL Label Linkbase Document |
101.PRE* | | XBRL Presentation Linkbase Document |
101.DEF* | | XBRL Definition Linkbase Document |
___________________
(1)
Filed as an Exhibit to Form 10-KSB dated October 31, 2000.
(2)
Filed as an Exhibit to Form 10-KSB/A dated July 31, 2000.
(3)
Filed as an Exhibit to Registration Statement on Form SB-2, SEC File No. 33-59230 and incorporated herein by reference.
(4)
Filed as an Exhibit to Form 10-KSB for the year ended October 31, 2001.
(5)
Filed as an Exhibit to the definitive Proxy Statement on Schedule 14/A as filed with the Commission on October 30, 2000 and incorporated herein by reference.
(6)
Filed as Exhibit 10.1 to the Form 8-K dated April 8, 2005 and incorporated herein by reference.
(7)
Filed as Exhibit 10.1 to the Form 8-K dated January 31, 2008.
(8)
Filed as Exhibit 10.2 to the Form 8-K dated January 31, 2008
(9)
Filed as an Exhibit to the Form 8-K dated March 30, 2011.
(10)
Filed as an Exhibit to the Form 8-K/A-1 dated June 27, 2011.
*
Filed herewith
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has caused this Report to be signed on its behalf by the undersigned thereunto duly authorized in Aurora, Colorado on the 14th day of February, 2012.
VITRO DIAGNOSTICS, INC.
By:
/s/ James R. Musick
James R. Musick, Chairman
Pursuant to the requirements of the Security Exchange Act of 1934, as amended, this Report has been signed by the following persons in the capacities and on the dates indicated.
| | |
Signatures | Title | Date |
| | |
/s/ James R. Musick James R. Musick | President, Chairman of the Board, Chief Executive Officer, Principal Financial and Accounting Officer, Director | February 14, 2012 |
| | |
/s/ Erik D. VanHorn Erik D. VanHorn | Vice President and Director | February 14, 2012 |