Amended Quarterly Report (10-q/a)
July 22 2014 - 6:01AM
Edgar (US Regulatory)
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
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QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For The Quarterly Period Ended March 31,
2014
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TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from __________ to __________
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Commission
file number:
333-56262
(Exact
name of registrant as specified in its charter)
Nevada
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88-0482413
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(State or other jurisdiction of
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(I.R.S. Employer
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incorporation or organization)
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Identification No.)
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8390
Via de Ventura, Suite F-110, #215
Scottsdale,
AZ
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85258
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(Address of principal executive offices)
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(Zip Code)
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(928)
515-1942
(Registrant’s
telephone number, including area code)
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
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No
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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). Yes
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No
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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 (Check one):
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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(Do not check if a smaller reporting company)
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Indicate
by check mark whether the registrant is a shell company (as defined by Rule 12b-2 of the Exchange Act). Yes
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No
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Indicate the number of shares outstanding of each of the issuer’s
classes of common stock, as of the latest practicable date: 275,769,643 shares of common stock, par value $0.001, of the issuer
were issued and outstanding as of May 14, 2014.
EL CAPITAN
PRECIOUS METALS, INC.
FORM 10-Q/A
EXPLANATORY NOTE
The registrant has prepared this Amendment (“Amendment”)
on Form 10-Q/A to its Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2014 (the “Form 10-Q”) for
the purpose of re-filing Exhibit 10.1 to the Form 10-Q. No revisions are being made to the Company’s financial statements
and, except as described below, this Amendment does not reflect events occurring after the filing of the Form 10-Q, or modify or
update those disclosures that may be affected by subsequent events, and no other changes are being made to any other disclosure
contained in the Form 10-Q.
This Amendment is an exhibit-only filing in response to comments
received from the staff of the Securities and Exchange Commission regarding a request for confidential treatment of certain portions
of Exhibits 10.1 and 10.2 originally filed with the Form 10-Q. This Amendment is being filed solely to re-file Exhibit 10.1. Except
for the changes to Exhibit 10.1, this Amendment does not otherwise update any exhibits as originally filed or previously amended.
This Amendment is being filed to replace Exhibit 10.1 to include certain portions of the Exhibit that had previously been omitted
or “redacted” pursuant to a request for confidential treatment. This Amendment provides a revised redacted version
of Exhibit 10.1.
In addition, as required by Rule 12b-15 under the Securities Exchange
Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed herewith
as exhibits to this Amendment.
Exhibit
Number
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Description
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10.1
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Agreement dated March 10, 2014 between the Company and Glencore AG. *+
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10.2
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Master Services Agreement dated February 28, 2014 by and between the Company and Logistica, U.S. Terminals,
LLC, including the Iron Ore Processing Agreement attached as Appendix A thereto
(incorporated by reference to Exhibit 10.2 to
the Company’s Quarterly Report on Form 10-Q filed on May 14, 2014)
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31.1
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Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act
of 2002.
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31.2
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Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act
of 2002.
*
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__________________
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Confidential treatment has been requested as to certain portions of this exhibit pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.
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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.
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EL CAPITAN
PRECIOUS METALS, INC.
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Dated: July
22, 2014
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By:
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/s/
Charles C. Mottley
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Charles
C. Mottley
Chief
Executive Officer, President and Director
(Principal
Executive Officer)
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Dated: July
22, 2014
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By:
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/s/
John F. Stapleton
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John
F. Stapleton
Chief
Financial Officer and Director
(Principal
Financial Officer)
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