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 endedDecember 31, 2015
. TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
Commission file number:333-197642
ALPHA ENERGY, INC.
(Exact name of registrant as specified in its charter)
Colorado |
| 90-1020566 |
(State or other jurisdiction of incorporation or organization) |
| (I.R.S. Employer Identification No.) |
600 17th Street, 2800 South,Denver, CO |
| 80202 |
(Address of principal executive offices) |
| (Zip Code) |
Registrant's telephone number:303-563-5340
Securities registered under Section 12(b) of the Act:None
Securities registered under Section 12(g) of the Act:Common Stock, $0.001 par value
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 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 X. No .
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405) 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 a large accelerated filer, an accelerated filer, a non-accelerated filer, or a small reporting company. See the definitions of "large accelerated filer," "accelerated filer" and "small 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. |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes . No X.
The number of shares of Common Stock, $0.0001 par value, outstanding on May 1, 2016 was 16,866,428 shares.
EXPLANATORY NOTE
The purpose of this Amendment No. 1 on Form 10–K/A to Alpha Energy, Inc.’s annual report on Form 10–K for the period ended December 31, 2015, filed with the Securities and Exchange Commission on May 19, 2016 (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.
PART IV
ITEM 15.
EXHIBITS, FINANCIAL STATEMENT SCHEDULES
(a)
1. | The financial statements listed in the "Index to Financial Statements" at page 30 are filed as part of this report. |
2. | Financial statement schedules are omitted because they are not applicable or the required information is shown in the financial statements or notes thereto. |
3. | Exhibits included or incorporated herein: See index to Exhibits. |
(b) Exhibits
Exhibit Number | Exhibit Description | Filed herewith | Form | Period ending | Exhibit | Filing date |
31.1 | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act |
| 10-K | 12/31/15 | 31.1 | 05/19/16 |
32.1 | Certification Principal Executive Officer and Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act |
| 10-K | 12/31/15 | 32.1 | 05/19/16 |
101 | XBRL | X |
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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 the report to be signed on its behalf by the undersigned, thereunto duly authorized.
Alpha Energy, Inc.
By:/s/ Karen Ziegler
Karen Ziegler, President
Date: September 28, 2016
Pursuant to the requirements of 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.
Signature | Title | Date |
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/s/ Karen Ziegler | President, Principal Executive Officer, Principal Financial Officer | September 28, 2016 |
Karen Ziegler | and Director |
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