SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
Amendment No. 1
[X] Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the quarterly period ended September 30, 2012
[ ] Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the transition period from ____________ to ____________
Commission file no. 000-21864
Vu1 CORPORATION
(Exact name of registrant as specified in its charter)
| California | 84-0672714 |
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
| 111 Broadway, Suite 808, New York NY | 10006 |
| (Address of principal executive offices) | (Zip Code) |
(855) 881-2852
(Registrant’s Telephone number, including area code)
Indicate by check mark whether the registrant has (1) 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 o
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 or 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 o
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 o | Accelerated filer o | |
Non-accelerated filer o | 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). Yeso Nox
On November 1, 2012, there were 6,238,531 shares of the Registrant’s common stock, no par value, issued and outstanding.
EXPLANATORY NOTE
This FORM 10-Q/A is being filed solely for the purpose of attaching the XBRL exhibits.
ITEM 6. EXHIBITS
| 31.1 | Rule 13a-14(a)/15d-14(a) Certification of William B. Smith., Chief Executive Officer |
| 31.2 | Rule 13a-14(a)/15d-14(a) Certification of Matthew DeVries, Chief Financial Officer |
| 32.1 | Certification of William B. Smith, Chief Executive Officer, and Matthew DeVries, 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 |
| 101.SCH* | XBRL Taxonomy Extension Schema Document |
| 101.CAL* | XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF* | XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB* | XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE* | XBRL Taxonomy Extension Presentation Linkbase Document |
* 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, deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise not subject to liability under these sections.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| VU1 CORPORATION | |
| (Registrant) | |
| Dated: November 16, 2012 | |
By: /s/ William B. Smith | |
| William B. Smith | |
| Chief Executive Officer | |
| (Principal Executive Officer) | |
By: /s/ Matthew DeVries | |
| Matthew DeVries | |
| Chief Financial Officer | |
| (Principal Financial and Accounting Officer) |