Amended Quarterly Report (10-q/a)
November 21 2017 - 6:05AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
x
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September
30, 2017
Commission File Number: 0-29901
Cavitation
Technologies, Inc.
(Exact name of Registrant as Specified in its Charter)
Nevada
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20-4907818
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(State or Other Jurisdiction of Incorporation or Organization)
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(I.R.S. Employer Identification Number)
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10019 CANOGA AVENUE, CHATSWORTH, CALIFORNIA
91311
(Address, including Zip Code, of Principal Executive Offices)
(818) 718-0905
(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 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 (§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
¨
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 definitions of
“large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the
Exchange Act. (Check one):
Large accelerated filer
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¨
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Accelerated filer
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¨
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Non-accelerated filer
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¨
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Smaller reporting company
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x
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Emerging growth company
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¨
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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.
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¨
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Indicate by check mark whether the registrant
is a shell company (as defined in Rule 12b-2 of the Exchange Act).
YES
¨
NO
x
As of November 20, 2017, the issuer had
197,197,906 shares of common stock outstanding.
EXPLANATORY NOTE
This Amendment No. 1 to
the Quarterly Report on Form 10-Q is being filed solely to furnish the Interactive Data files as Exhibit 101, in accordance
with Rule 405 of Regulation S-T. No other changes have been made to the Form 10-Q, as originally filed on November 20, 2017
Item 6 - EXHIBITS, FINANCIAL STATEMENT SCHEDULES
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Incorporated by Reference
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Exhibit
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Filed
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Number
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Exhibit Description
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Herewith
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Form
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Pd. Ending
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Exhibit
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Filing Date
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101.INS
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XBRL Instance Document
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X
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101.SCH
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XBRL Taxonomy Extension Schema
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X
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101.CAL
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XBRL Taxonomy Extension Calculation Linkbase
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X
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101.DEF
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XBRL Taxonomy Extension Definition Linkbase
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X
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101.LAB
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XBRL Taxonomy Extension Label Linkbase
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X
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101.PRE
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XBRL Taxonomy Extension Presentation Linkbase
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X
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*
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In accordance with Regulation
S-K 406 of the Securities Act of 1934, we undertake to provide to any person without charge, upon request, a copy of our “Code
of Business Conduct and Ethics”. A copy may be requested by sending an email to info@cavitationtechnologies.com.
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SIGNATURES
Pursuant to the requirements of the securities Act of 1934,
the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
SIGNATURE
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TITLE
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DATE
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/s/ Igor Gorodnitsky
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President; Member of Board of Directors
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November 20, 2017
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Igor Gorodnitsky
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(Principal Executive Officer)
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/s/ N. Voloshin
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Chief Financial Officer
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November 20, 2017
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N. Voloshin
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(Principal Financial Officer)
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/s/ Jim Fuller
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Audit Committee Chairman, Independent Financial Expert
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November 20, 2017
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Jim Fuller
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