UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
(Mark One)
☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended June 30, 2018
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 Number 001-10647
PRECISION OPTICS CORPORATION, INC.
(Exact name of registrant as specified in its charter)
| Massachusetts | 04-2795294 | |
| (State or other jurisdiction | (I.R.S. Employer | |
| of incorporation or organization) | Identification No.) |
22 East Broadway
Gardner, Massachusetts 01440
(Address of principal executive offices) (Zip Code)
(978) 630-1800
(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 | ||
| N/A | N/A | N/A |
Securities registered pursuant to Section 12(g) of the Act: Common Stock, $0.01 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
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. ☐ Yes ☒ No
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 every Interactive Data File required to be submitted 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 such files). ☒ Yes ☐ No
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 ☐ | 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 Rule 12b-2 of the Act. ☐ Yes ☒ No
The aggregate market value of the voting and non-voting common stock held by non-affiliates of the registrant on December 29, 2017 was approximately $2,406,427 based on a total of 5,869,334 shares of the registrant’s common stock held by non-affiliates on December 29, 2017, at the closing price of $0.41 per share as reported on the OTCQB market on December 29, 2017.
The number of shares of outstanding common stock of the registrant as of September 15, 2018 was 10,297,139.
Documents incorporated by reference: None
EXPLANATORY NOTE
Precision Optics Corporation, Inc. is filing this amendment No.1 on Form 10-K/A for the year ended June 30, 2018 as filed with the Securities and Exchange Commission on September 27, 2018, in order to correct the date of the audit report.
This Form 10-K/A does not modify or update any other disclosures set forth in the original annual report on Form 10-K for the year ended June 30, 2018, and filed with the Securities and Exchange Commission on September 27, 2018.
ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES
* Filed herewith.
| 2 |
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| PRECISION OPTICS CORPORATION, INC. | ||
| Date: June 12, 2019 | By: | /s/ Joseph N. Forkey |
Joseph N. Forkey President and Chief Executive Officer | ||
| (Principal Executive Officer) | ||
| Date: June 12, 2019 | By: | /s/ Donald A. Major |
Donald A. Major Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) | ||
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 | Capacity | Date |
/s/ Joseph N. Forkey Joseph N. Forkey | Chief Executive Officer, President, Treasurer and Director (Principal Executive Officer) | June 12, 2019 |
/s/ Donald A. Major Donald A. Major | Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) | June 12, 2019 |
| /s/ Andrew J. Miclot | Director | June 12, 2019 |
| Andrew J. Miclot | ||
| /s/ Peter H. Woodward | Director, Chairman | June 12, 2019 |
| Peter H. Woodward | ||
| /s/ Richard B. Miles | Director | June 12, 2019 |
| Richard B. Miles | ||
| /s/Kenneth S. Schwartz | Director | June 12, 2019 |
| Kenneth S. Schwartz |
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