Amended Quarterly Report (10-q/a)
2014年10月28日 - 7:01PM
Edgar (US Regulatory)
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 August 31, 2014
[ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF
THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from _____to _____
Commission File Number: 000-54751
PASSPORT POTASH INC.
(Exact name of small business issuer as specified in its charter)
British Columbia, Canada |
Not Applicable |
(State or other jurisdiction of incorporation or |
(I.R.S. Employer Identification No.) |
organization) |
|
|
|
608 1199 West Pender Street |
|
Vancouver, BC, Canada |
V6E 2R1 |
(Address of principal executive offices) |
(Zip Code) |
(604) 687-0300
Registrants telephone number,
including area code
N/A
(Former name, former address and former
fiscal year, if changed since last report)
Indicate by check mark whether the registrant (1) has filed all
reports required to be filed by Section 13 or 15(d) of the 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 Web site, if any, every Interactive
Data File required to be submitted and posted pursuant to Rule 405 of Regulation
S-T 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 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, non-accelerated filer, and smaller 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 Exchange Act).
Yes [
] No [X]
State the number of shares outstanding of each of the issuers
classes of common equity, as of the latest practicable date. 109,490,859 shares
of common stock as of October 20, 2014.
2
EXPLANATORY NOTE
The sole purpose of this Amendment No. 1 to our Quarterly
Report on Form 10-Q for the period ended August 31, 2014, filed with the
Securities and Exchange Commission on October 22, 2014 (the Form 10-Q), is to
furnish Exhibit 101 to the Form 10-Q in accordance with Rule 405 of Regulation
S-T.
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.
Item 6.
Exhibits
Exhibit No. |
Document |
3.1.1 |
Certificate of Registration(2) |
3.1.2 |
Certificate of Modification, dated January 21,
1994(2) |
3.1.3 |
Certificate of Modification, dated November 11,
1996(2) |
3.1.4 |
Certificate of Modification, dated June 16,
2004(2) |
3.1.5 |
Certificate of Modification, dated October 17,
2007(2) |
3.1.6 |
Certificate of Modification, dated November 10,
2009(2) |
3.1.7 |
Certificate of Continuation, dated April 26,
2011(3) |
3.1.8 |
Notice of Articles, dated May 31, 2012(3)
|
3.2 |
Articles(1) |
3.3 |
Articles as altered on September 12, 2013(13)
|
4.1 |
Share Option Plan dated August 25, 2011(1)
|
4.2 |
Share Rights Plan(1) |
10.1 |
Mineral Property Option Agreement between Southwest
Exploration, Inc. and Passport Potash Inc., dated September 30,
2008(2) |
10.2 |
Amendment No. 1 to Mineral Property Option Agreement
between Southwest Exploration, Inc. and Passport Potash Inc., dated
September 18, 2009(1) |
10.3 |
Option Agreement between Twin Buttes Ranch, LLC and
Passport Potash Inc., dated August 28, 2009(3) |
10.4 |
Amendment Agreement to Option Agreement between Twin
Buttes Ranch, LLC and Passport Potash Inc., dated September 7,
2010(1) |
10.5 |
Amendment No. 2 to Mineral Property Option Agreement
between Southwest Exploration, Inc. and Passport Potash Inc., dated
October 1, 2010(1) |
10.6 |
Mineral Property Option Agreement between Mesa Uranium
Corp. and Passport Potash Inc., dated August 31, 2010(3)
|
10.7 |
Option of Arizona Exploration Leases Agreement between
Sweetwater River Resources, LLC, American Potash, LLC and Passport Potash
Inc., dated November 12, 2010(3) |
10.8 |
Option Agreement between Ringbolt Ventures Ltd., Potash
Green, LLC, Wendy Walker Tibbetts, Joseph J. Hansen and Passport Potash
Inc., dated March 28, 2011(3) |
10.9 |
Cooperative Agreement between Hopi Tribe and Passport
Potash Inc., dated March 8, 2011(3) |
10.10 |
Agreement between Southwest Exploration, Inc. and
Passport Potash Inc., dated February 13, 2012(3)
|
3
Exhibit No. |
Document |
10.11 |
Property Purchase Agreement between Fitzgerald Living
Trust and Passport Potash Inc., dated May 7, 2012(2) |
10.12 |
Joint Exploration Agreement between HNZ Potash, LLC and
Passport Potash Inc., dated July 27, 2012(2) |
10.13 |
Amendment Agreement between Passport Potash Inc., North
American Potash Developments Inc., Potash Green, LLC, Wendy Walker
Tibbetts and Joseph J. Hansen, dated October 30, 2012(4) |
10.14 |
Joint Exploration Agreement between Passport Potash Inc.
and The Hopi Tribe, dated effective November 1, 2012(5) |
10.15 |
Amendment to Agreement to Purchase Real Estate between
Passport Potash Inc. and the Fitzgerald Living Trust, dated November 8,
2012(5) |
10.16 |
Second Amendment Agreement between Passport Potash Inc.,
North American Potash Developments Inc., Potash Green, LLC, Wendy Walker
Tibbetts and Joseph J. Hansen, dated December 8, 2012(6) |
10.17 |
Agreement to Amend and Restate Agreement to Purchase Real
Estate between Fitzgerald Living Trust and Passport Potash Inc., dated May
29, 2013(8) |
10.18 |
Form of Placement Agent Agreement (12) |
10.19 |
Amendment to Option Agreement between Passport Potash
Inc. and Twin Buttes Ranch, LLC, dated December 4, 2009(12) |
10.20 |
Amendment to Option Agreement between Passport Potash
Inc. and Twin Buttes Ranch, LLC, dated August 20, 2013(11) |
10.21 |
Mining Lease between Passport Potash Inc. and Twin Buttes
Ranch, LLC, dated December 4, 2009 (included in Exhibit
10.19)(12) |
10.22 |
Amendment to Mining Lease between Passport Potash Inc.
and Twin Buttes Ranch, LLC, dated August 20, 2013(11) |
20.1 |
Advance Notice Policy, dated July 22, 2013(10) |
21.1 |
Subsidiaries of the Issuer(14) |
31.1 |
Certification of Chief Executive Officer Pursuant to Rule
13a-14(a) or 15d-14(a) of the Securities Exchange Act.* |
31.2 |
Certification of the Chief Financial Officer Pursuant to
Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act.* |
32.1 |
Certification of Chief Executive Officer and Chief
Financial officer Under Section 1350 as Adopted Pursuant to Section 906 of
the Sarbanes-Oxley Act.* |
99.1 |
Consulting Agreement between Upstream Consulting and
Passport Potash Inc., dated effective December 1, 2011(3) |
99.2 |
Form of Professional Services Agreement between R. Dennis
Ickes and Passport Potash Inc., dated December 14, 2011(2) |
99.3 |
Consulting Agreement between Transnational Enterprises
Ltd. and Passport Potash Inc., dated January 1, 2012(3) |
99.4 |
Consulting Agreement between Double Jointed Solutions,
LLC and Passport Potash Inc., dated January 16, 2012(2) |
99.5 |
Consulting Agreement between Jerry Aiken and Passport
Potash Inc., dated January 25, 2012(2) |
99.6 |
Form of Convertible Debenture(7) |
4
Notes:
(*) |
Filed herewith. |
(1) |
Filed as an exhibit to our Registration Statement on Form
10 as filed with the SEC on June 29, 2012 and incorporated herein by
reference. |
(2) |
Filed as an exhibit to our Registration Statement on Form
10 (Amendment No. 1) as filed with the SEC on September 21, 2012 and
incorporated herein by reference. |
(3) |
Filed as an exhibit to our Registration Statement on Form
10 (Amendment No. 2) as filed with the SEC on October 12, 2012 and
incorporated herein by reference. |
(4) |
Filed as an exhibit to our Current Report on Form 8-K as
filed with the SEC on November 8, 2012 and incorporated herein by
reference. |
(5) |
Filed as an exhibit to our Current Report on Form 8-K as
filed with the SEC on November 23, 2012 and incorporated herein by
reference. |
(6) |
Filed as an exhibit to our Quarterly Report on Form 10-Q
as filed with the SEC on January 14, 2013 and incorporated herein by
reference. |
(7) |
Filed as an exhibit to our Current Report on Form 8-K as
filed with the SEC on February 25, 2013 and incorporated herein by
reference. |
(8) |
Filed as an exhibit to our Annual Report on Form 10-K as
filed with the SEC on May 31, 2013 and incorporated herein by
reference. |
(9) |
Filed as an exhibit to our Quarterly Report on Form 10-Q
as filed with the SEC on July 15, 2013 and incorporated herein by
reference. |
(10) |
Filed as an exhibit to our Current Report on Form 8-K as
filed with the SEC on July 24, 2013 and incorporated herein by
reference. |
(11) |
Filed as an exhibit to our Current Report on Form 8-K as
filed with the SEC on August 23, 2013 and incorporated herein by
reference. |
(12) |
Filed as an exhibit to our Registration Statement on Form
S-1/A (Amendment No. 4) as filed with the SEC on August 26, 2013 and
incorporated herein by reference. |
(13) |
Field as an exhibit to our Quarterly Report on Form 10-Q
as filed with the SEC on October 15, 2013 and incorporated herein by
reference. |
(14) |
Filed as an exhibit to our Annual Report on Form 10-K as
filed with the SEC on June 13, 2014 and incorporated herein by
reference. |
5
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.
PASSPORT POTASH INC.
|
By: |
/s/
Joshua Bleak |
|
|
Joshua Bleak |
|
|
President, Chief Executive Officer and a
director |
|
|
(Principal Executive Officer) |
|
|
Date: October 27, 2014 |
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|
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|
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By: |
/s/
Bill Allred |
|
|
Bill Allred |
|
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Chief Financial Officer |
|
|
(Principal Financial Officer and Principal
Accounting Officer) |
|
|
Date: October 27, 2014 |
6
Exhibit 31.1
CERTIFICATION
I, Joshua Bleak, certify that:
1. |
I have reviewed this report on Form 10-Q/A (Amendment No.
1) for the quarterly period ended August 31, 2014 of Passport Potash
Inc.; |
|
|
2. |
Based on my knowledge, this report does not contain any
untrue statement of a material fact or omit to state a material fact
necessary to make the statements made, in light of the circumstances under
which such statements were made, not misleading with respect to the period
covered by this report; |
|
|
3. |
Based on my knowledge, the financial statements, and
other financial information included in this report, fairly present in all
material respects the financial condition, results of operations and cash
flows of the registrant as of, and for, the periods presented in this
report; |
|
|
4. |
The registrants other certifying officer(s) and I are
responsible for establishing and maintaining disclosure controls and
procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and
internal control over financial reporting (as defined in Exchange Act
Rules 13a-15(f) and 15d-15(f)) for the registrant and
have: |
|
(a) |
Designed such disclosure controls and procedures, or
caused such disclosure controls and procedures to be designed under our
supervision, to ensure that material information relating to the
registrant, including its consolidated subsidiaries, is made known to us
by others within those entities, particularly during the period in which
this report is being prepared; |
|
|
|
|
(b) |
Designed such internal control over financial reporting,
or caused such internal control over financial reporting to be designed
under our supervision, to provide reasonable assurance regarding the
reliability of financial reporting and the preparation of financial
statements for external purposes in accordance with generally accepted
accounting principles; |
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|
|
(c) |
Evaluated the effectiveness of the registrants
disclosure controls and procedures and presented in this report our
conclusions about the effectiveness of the disclosure controls and
procedures, as of the end of the period covered by this report based on
such evaluation; and |
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|
(d) |
Disclosed in this report any change in the registrants
internal control over financial reporting that occurred during the
registrants most recent fiscal quarter (the registrants fourth fiscal
quarter in the case of an annual report) that has materially affected, or
is reasonably likely to materially affect, the registrants internal
control over financial reporting; and |
5. |
The registrants other certifying officer(s) and I have
disclosed, based on our most recent evaluation of the internal control
over financial reporting, to the registrants auditors and the audit
committee of the registrants board of directors (or persons performing
the equivalent functions): |
|
(a) |
all significant deficiencies and material weaknesses in
the design or operation of internal control over financial reporting which
are reasonably likely to adversely affect the registrants ability to
record, process, summarize and report financial information; and |
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(b) |
any fraud, whether or not material, that involves
management or other employees who have a significant role in the
registrants internal control over financial
reporting. |
Date: October 27, 2014
/s/ Joshua Bleak
|
|
By:
Joshua Bleak |
|
Title: Chief Executive
Officer |
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(Principal Executive Officer) |
|
Exhibit 31.2
CERTIFICATION
I, Bill Allred, certify that:
1. |
I have reviewed this report on Form 10-Q/A (Amendment No.
1) for the quarterly period ended August 31, 2014 of Passport Potash
Inc.; |
|
|
2. |
Based on my knowledge, this report does not contain any
untrue statement of a material fact or omit to state a material fact
necessary to make the statements made, in light of the circumstances under
which such statements were made, not misleading with respect to the period
covered by this report; |
|
|
3. |
Based on my knowledge, the financial statements, and
other financial information included in this report, fairly present in all
material respects the financial condition, results of operations and cash
flows of the registrant as of, and for, the periods presented in this
report; |
|
|
4. |
The registrants other certifying officer(s) and I are
responsible for establishing and maintaining disclosure controls and
procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and
internal control over financial reporting (as defined in Exchange Act
Rules 13a-15(f) and 15d-15(f)) for the registrant and
have: |
|
(a) |
Designed such disclosure controls and procedures, or
caused such disclosure controls and procedures to be designed under our
supervision, to ensure that material information relating to the
registrant, including its consolidated subsidiaries, is made known to us
by others within those entities, particularly during the period in which
this report is being prepared; |
|
|
|
|
(b) |
Designed such internal control over financial reporting,
or caused such internal control over financial reporting to be designed
under our supervision, to provide reasonable assurance regarding the
reliability of financial reporting and the preparation of financial
statements for external purposes in accordance with generally accepted
accounting principles; |
|
|
|
|
(c) |
Evaluated the effectiveness of the registrants
disclosure controls and procedures and presented in this report our
conclusions about the effectiveness of the disclosure controls and
procedures, as of the end of the period covered by this report based on
such evaluation; and |
|
|
|
|
(d) |
Disclosed in this report any change in the registrants
internal control over financial reporting that occurred during the
registrants most recent fiscal quarter (the registrants fourth fiscal
quarter in the case of an annual report) that has materially affected, or
is reasonably likely to materially affect, the registrants internal
control over financial reporting; and |
5. |
The registrants other certifying officer(s) and I have
disclosed, based on our most recent evaluation of the internal control
over financial reporting, to the registrants auditors and the audit
committee of the registrants board of directors (or persons performing
the equivalent functions): |
|
(a) |
all significant deficiencies and material weaknesses in
the design or operation of internal control over financial reporting which
are reasonably likely to adversely affect the registrants ability to
record, process, summarize and report financial information; and |
|
|
|
|
(b) |
any fraud, whether or not material, that involves
management or other employees who have a significant role in the
registrants internal control over financial
reporting. |
Date: October 27, 2014
/s/ Bill Allred
|
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By: Bill
Allred |
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Title: Chief Financial
Officer |
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(Principal Financial Officer and |
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Principal Accounting Officer) |
|
Exhibit 32.1
CERTIFICATION OF CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL
OFFICER
PURSUANT TO 18 U.S.C. SECTION 1350,
AS ADOPTED
PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
The undersigned, Joshua Bleak, the Chief Executive Officer, and
Bill Allred, the Chief Financial Officer, of Passport Potash Inc. (the
Company), each hereby certifies, pursuant to 18 U.S.C. Section 1350, as
adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that, to his
knowledge, the Quarterly Report on Form 10-Q/A (Amendment No. 1) for the period
ended August 31, 2014, fully complies with the requirements of Section 13(a) or
15(d) of the Securities Exchange Act of 1934, as amended, and that the
information contained in the Quarterly Report on Form 10-Q/A (Amendment No. 1)
fairly presents in all material respects the financial condition and results of
operations of the Company.
|
/s/ Joshua Bleak
|
|
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Joshua Bleak |
|
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Chief Executive Officer |
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(Principal Executive Officer) |
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Date: October 27, 2014 |
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/s/ Bill Allred
|
|
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Bill Allred |
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Chief Financial Officer |
|
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(Principal Financial Officer and |
|
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Principal Accounting Officer) |
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Date: October 27, 2014 |
|
A signed original of this written statement required by Section
906, or other document authenticating, acknowledging, or otherwise adopting the
signatures that appear in typed form within the electronic version of this
written statement required by Section 906, has been provided to Passport Potash
Inc. and will be retained by Passport Potash Inc. and furnished to the
Securities and Exchange Commission or its staff upon request.
__________
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