Amended Quarterly Report (10-q/a)
July 07 2020 - 4:56PM
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 quarter ended: March 31, 2020
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: 000-55976
OZOP
SURGICAL CORP.
(Exact
name of registrant as specified in its charter)
Nevada
|
|
35-2540672
|
(State
or other jurisdiction
of
incorporation or organization)
|
|
(I.R.S.
Employer
Identification
No.)
|
31Sandfort
Lane
Warwick,
NY 10990
(Address
of principal executive offices) (zip code)
(845)
544-5112
(Registrant’s
telephone number, including area code)
Not
applicable.
(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 Securities Exchange
Act of 1934 during the preceding 12 months (or for 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. [X] Yes [ ] 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 (§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). [X] Yes [ ]
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” and smaller reporting
company” in Rule 12b-2 of the Exchange Act.
|
Large
accelerated filer
|
[ ]
|
Accelerated
filer
|
[ ]
|
|
|
|
|
|
|
Non-accelerated
filer
|
[ ]
|
Smaller
reporting company
|
[X]
|
|
|
|
|
|
|
(Do
not check if a smaller reporting company)
|
|
Emerging
growth company
|
[X]
|
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 Exchange Act). [ ] Yes [X]
No
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol(s)
|
|
Name
of each exchange on which
registered
|
None
|
|
N/A
|
|
N/A
|
As
of June 30, 2020, there were 1,489,063,164 shares outstanding of the registrant’s common stock, $0.001 par value per share.
EXPLANATORY
NOTE
Reason
for this Amendment
Ozop
Surgical Corp.(the “Company”) is filing this Amendment No. 1 (this “Amendment”) to its Quarterly Report
on Form 10-Q for the period ended March 31, 2020 (the “Original 10-Q”), as originally filed with the Securities and
Exchange Commission (the “SEC”) on July 2, 2020, solely to disclose that the Company had filed the Original 10-Q after
the May 15, 2020 deadline in reliance on the 45-day extension provided by an order issued by the SEC pursuant to Section 36 of
the Securities Exchange Act of 1934, as amended (the “Exchange Act”) (Release No. 34-88465 dated March 25, 2020) (the
“Order”) to delay the filing of the Quarterly Report due to circumstances related to the coronavirus pandemic
(“COVID-19”). On May 15, 2020, the Company filed a Current Report on Form 8-K stating that it is relying on the Order
to delay the filing of the Report by up to 45 days due to circumstances related to the COVID-19 pandemic. Specifically: (i) The
Company is based in New York. New York was the epicenters of the coronavirus outbreaks in the United States and the Governor of
New York had ordered all residents to stay at home excepting only essential travel; (ii) Separately, some of the Company’s
professionals are located in South Florida, one of the epicenters of the coronavirus outbreaks
in the United States; (iii) Lastly, the Company’s independent auditors are located in New Jersey, another one
of the epicenters of the coronavirus outbreaks in the United States, and has staff with limited access to their offices
which affected the timely completion of the quarterly review.
These
disruptions have resulted in limited access to the Company’s facilities and have interfered with management’s ability
to work with its independent accountants, professional advisors and support staff in order to complete the Company’s financial
statements and related disclosures that will be included in the Company’s Form 10-Q.
In
accordance with Rule 12b-15 under the Exchange Act, the Company is including in this Amendment certifications from its principal
executive officer and principal financial officer as required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act as exhibits
to this Amendment. Because no financial statements have been included in this Amendment and this Amendment does not contain or
amend any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4 and 5 of the certifications have been
omitted. Similarly, we are not including the certifications under Section 906 of the Sarbanes-Oxley Act of 2002 as no financial
statements are being filed with this Amendment.
Except
as described above, this Amendment does not amend, modify or update the information in, or exhibits to, the Original 10-Q. Furthermore,
this Amendment does not change any previously reported financial results nor does it reflect events occurring after the filing
of the Original 10-Q. This Amendment should be read in conjunction with the Original 10-Q and with the Company’s other filings
made with the SEC subsequent to the filing of the Original 10-Q.
ITEM
15.
|
|
EXHIBITS
AND FINANCIAL STATEMENT SCHEDULES
|
Financial
Statement Schedules
None.
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