UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM10-Q/A
(Amendment No. 1)
☒ | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended March 31, 2019
or
☐ | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the transition period from to .
Commission File Number001-31895
ODYSSEY MARINE EXPLORATION, INC.
(Exact name of registrant as specified in its charter)
Nevada | 84-1018684 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
5215 W. Laurel Street, Tampa, Florida 33607
(Address of principal executive offices) (Zip code)
(813)876-1776
(Registrant’s telephone number, including area code)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
Common Stock, $0.0001 par value | OMEX | NASDAQ Capital Market |
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
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 RegulationS-T (Section 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 whether the registrant is a large accelerated filer, an accelerated filer, anon-accelerated filer or a smaller reporting company. See definition of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule12b-2 of the Exchange Act (Check one).
Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☐ | Smaller reporting company | ☒ | |||
Emerging growth company | ☐ |
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. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule12b-2 of the Exchange Act): ☐ Yes ☒ No
The number of outstanding shares of the registrant’s Common Stock, $.0001 par value, as of May 3, 2019 was 9,222,199.
EXPLANATORY NOTE
This Amendment No. 1 on Form10-Q/A (this “Amendment”) of Odyssey Marine Exploration, Inc. (“Odyssey”) amends Odyssey’s quarterly report on Form10-Q for the fiscal quarter ended March 31, 2019, as filed with the Securities and Exchange Commission (the “SEC”) on May 15, 2019 (the “Form10-Q”), and is being filed solely to refile Exhibit 10.1. A redacted version of Exhibit 10.1 was filed with theForm 10-Q, and Odyssey submitted a request for confidential treatment of certain portions of Exhibit 10.1 to the staff of the SEC. Odyssey has withdrawn its request for confidential treatment.
No revisions or changes are made to the Company’s financial statements or notes thereto, and no changes are made to any other portion of the Form10-Q or any other disclosure contained in the Form10-Q, other than Exhibit 10.1.
In addition, as required by Rule12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed herewith as exhibits to this Amendment.
This Amendment does not reflect events occurring after the filing of the original Form10-Q, or modify or update any disclosures that may be affected by subsequent events.
PART II—OTHER INFORMATION
Item 6. Exhibits.
* | Furnished with the original Form10-Q. XBRL information is furnished and not filed or a part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise is not subject to liability under these sections. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
ODYSSEY MARINE EXPLORATION, INC. | ||||||||
Dated: July 26, 2019 | By: | /s/ Jay A. Nudi | ||||||
Jay A. Nudi Chief Financial Officer |