UNITED STATES
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 June 30, 2011
o 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.) |
| 469 Seventh Avenue, Suite 356 New York, New York | 10018 | ||
| (Address of principal executive offices) | (Zip Code) |
(212) 359-9503
(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 August 15, 2011 there were 111,094,426 shares of the Registrant’s common stock, no par value, issued and outstanding.
EXPLANATORY NOTE
The purpose of this Amendment No. 1 to the Quarterly Report of Vu1 Corporation on Form 10-Q for the quarterly period ended June 30, 2011, filed with the Securities and Exchange Commission on August 15, 2011 (the “Form 10-Q”), is to furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation S-T to the Form 10-Q. Exhibit 101 to this report provides the consolidated financial statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).
Other than the aforementioned, no other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, 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-Q.
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.
ITEM 6. EXHIBITS
| 31.1 | ** | Rule 13a-14(a)/15d-14(a) Certification of Scott C. Blackstone, Ph.D., Chief Executive Officer |
| 31.2 | ** | Rule 13a-14(a)/15d-14(a) Certification of Matthew DeVries, Chief Financial Officer |
| 32.1 | ** | Certification of Scott C. Blackstone, Ph.D., 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 | (1) | Interactive Data Files |
| ** | Incorporated by reference to our Form 10-Q filed with the SEC on August 15, 2011. | |
| (1) | Filed herewith. |
2
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: August 26, 2011 | |
By: /s/ Scott C. Blackstone, Ph.D. | |
| Scott C. Blackstone | |
| Chief Executive Officer | |
| (Principal Executive Officer) | |
By: /s/ Matthew DeVries | |
| Matthew DeVries | |
| Chief Financial Officer | |
| (Principal Financial and Accounting Officer) |
3