Amended Annual Report (10-k/a)
April 20 2018 - 04:07PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
———————
FORM 10-K/A
Amendment No. 1
———————
☑
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2017
Commission file number: 000-51354
AEMETIS, INC.
(Exact name of registrant as specified in its charter)
|
|
Nevada
|
26-1407544
|
(State or other jurisdiction of
incorporation or organization)
|
(I.R.S. Employer
Identification Number)
|
20400 Stevens Creek Blvd., Suite 700
Cupertino, CA 95014
(Address of principal executive offices)
Registrant’s telephone number (including area code):
(408)
213-0940
Securities registered under Section 12(g) of the Exchange
Act:
Common Stock, Par Value $0.001
(Title of class)
Indicate by check mark if the registrant is a well-known seasoned
issuer, as defined in Rule 405 of the Securities Act.
Yes
☐
No
☑
Indicate by check mark if the registrant is not required to file
reports pursuant to Section 13 or Section 15(d) of the
Act. Yes
☐
No
☑
Indicate by check mark whether the registrant (1) has filed all
reports required to be filed by Section 13 or
Section 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
☑
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
☑
No
☐
Indicate by check mark if disclosure of delinquent filers pursuant
to Item 405 of Regulation S-K (§229.405 of this chapter) is
not contained herein, and will not be contained, to the best of
registrant’s knowledge, in definitive proxy or information
statements incorporated by reference in Part III of this Form 10-K
or any amendment to this Form 10-K.
☐
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):
Large accelerated filer
|
☐
|
Accelerated filer
☐
|
Non-accelerated filer
|
☐
(Do not check if a
smaller reporting company)
|
Smaller reporting company
☑
|
Indicate by check mark whether the registrant is a shell company
(as defined in Rule 12b-2 of the Exchange Act).
Yes
☐
No
☑
The aggregate market value of the voting and non-voting common
equity held by non-affiliates of the registrant was approximately
$16,715,351 as of June 30, 2017 based on the average bid and asked
price on the NASDAQ Markets reported for such date. This
calculation does not reflect a determination that certain persons
are affiliates of the registrant for any other
purpose.
The number of shares outstanding of the registrant’s Common
Stock on March 15, 2018 was 20,222,890 shares.
DOCUMENTS INCORPORATED BY REFERENCE
Portions
of the Proxy Statement for the Registrant’s 2017 Annual
Meeting of Stockholders are incorporated by reference in
Part III of this Form 10-K.
Explanatory Note
Aemetis,
Inc. is filing this Amendment No. 1 on Form 10-K/A
(“Amendment No. 1”) to its Annual Report on Form 10-K
for the fiscal year ended December 31, 2017 (the “Original
Filing”) to correct a technical error in the exhibit index to
the Original Filing. Except as described above, this Amendment No.
1 does not otherwise modify or update disclosures presented in the
Original Filing. Accordingly, this Amendment No. 1 does not reflect
events occurring after the filing of the Original Filing or modify
or update those disclosures affected by subsequent events, and
should be read in conjunction with the Annual Report in the
Original Filing.
Pursuant
to Rule 12b-15 under the Securities Exchange Act of 1934, as
amended, this Amendment No. 1 also contains new certifications
pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, which
are attached hereto. Because no financial statements have been
included in this Amendment No. 1 and because this Amendment No. 1
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.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
Date: April 20, 2018
|
Aemetis, Inc.
|
|
|
|
/s/ E
RIC
A. M
C
A
FEE
|
|
Eric A. McAfee
|
|
Chief Executive Officer
|
|
(Principal Executive Officer)
|
PART IV
Item 15. Exhibits and Financial Statement Schedules
3. Exhibits:
|
|
Incorporated by Reference
|
Filed
Herewith
|
Exhibit No.
|
Description
|
Form
|
File No.
|
Exhibit
|
Filing Date
|
|
|
At
Market Issuance Sales Agreement dated March 23, 2016 with FBR
Capital Markets & Co. and MLV & Co. LLC and Aemetis
Inc.
|
10-K
|
000-51354
|
1.1
|
Mar
28, 2016
|
|
|
Articles
of Incorporation
|
10-Q
|
000-51354
|
3.1
|
Nov.
14, 2008
|
|
|
Certificate
of Amendment to Articles of Incorporation
|
10-Q
|
000-51354
|
3.1.1
|
Nov.
14, 2008
|
|
|
Certificate
of Designation of Series B Preferred Stock
|
8-K
|
000-51354
|
3.2
|
Dec.
13, 2007
|
|
|
Certificate
of Amendment to Articles of Incorporation
|
8-K
|
000-51354
|
3.3
|
Dec.
13, 2007
|
|
|
Certificate
of Amendment to Articles of Incorporation
|
Pre14C
|
111136140
|
|
Oct.
11, 2011
|
|
|
Certificate of
Change in Articles of Incorporation are a result of 1 for 10
reverse split to Authorized Shares and Common Shares Outstanding on
May 5, 2014
|
10-Q
|
000-51354
|
3.1
|
May 15,
2014
|
|
|
Amended and
Restated Articles of Incorporation
|
10-K
|
000-51354
|
3.1.7
|
March 16,
2017
|
|
|
Bylaws
|
8-K
|
000-51354
|
3.4
|
Dec.
13, 2007
|
|
|
Specimen
Common Stock Certificate
|
8-K
|
000-51354
|
4.1
|
Dec.
13, 2007
|
|
|
Specimen
Series B Preferred Stock Certificate
|
8-K
|
000-51354
|
4.2
|
Dec.
13, 2007
|
|
|
Form
of Common Stock Warrant
|
8-K
|
000-51354
|
4.3
|
Dec.
13, 2007
|
|
|
Form
of Series B Preferred Stock Warrant
|
8-K
|
000-51354
|
4.4
|
Dec.
13, 2007
|
|
|
Amended
and Restated 2007 Stock Plan
|
14A
|
000-51354
|
|
Apr.
3, 2015
|
|
|
Amended
and Restated 2007 Stock Plan form of Stock Option Award
Agreement
|
14A
|
000-51354
|
|
Apr.
15, 2008
|
|
|
Eric
McAfee Executive Employment Agreement dated September 1,
2011
|
8-K
|
000-51354
|
10.2
|
Sep.
8, 2011
|
|
|
Andrew
Foster Executive Employment Agreement, dated May 22,
2007
|
8-K
|
000-51354
|
10.7
|
Dec.
13, 2007
|
|
|
Todd
Waltz Executive Employment Agreement, dated March 12,
2010
|
8-K
|
000-51354
|
|
March
12, 2010
|
|
|
Sanjeev
Gupta Executive Employment Agreement, dated September 1,
2007
|
10-K/A
|
000-51354
|
10.11
|
May
20, 2009
|
|
|
Agreement
of Loan for Overall Limit dated June 26, 2008 between Universal
Biofuels Private Limited and State Bank of India
|
10-Q
|
000-51354
|
10.12
|
Aug.
14, 2008
|
|
|
Ethanol
Marketing Agreement, dated October 29, 2010 between AE Advanced
Fuels Keyes, Inc. and Kinergy Marketing, LLC
|
10-Q
|
000-51354
|
10.6
|
Dec.
1, 2010
|
|
|
Zymetis,
Inc. 2006 Stock Incentive Plan
|
10-K
|
000-51354
|
10.31
|
Oct.
31, 2012
|
|
|
Zymetis
Inc. Incentive Stock Option Agreement
|
10-K
|
000-51354
|
10.32
|
Oct.
31, 2012
|
|
|
Zymetis
Inc. Non-Incentive Stock Option Agreement
|
10-K
|
000-51354
|
10.33
|
Oct.
31, 2012
|
|
|
First
Amendment to Ethanol Marketing Agreement dated September 6, 2011,
between AE Advanced Fuels Keyes, Inc. and Kinergy Energy
Marketing
|
8-K
|
000-51354
|
10.1
|
Sept.
8, 2011
|
|
|
Form
of Note and Warrant Purchase Agreement
|
8-K
|
000-51354
|
10.1
|
Jan.
12, 2012
|
|
|
Form
of 5% Subordinated Note
|
8-K
|
000-51354
|
10.2
|
Jan.
12, 2012
|
|
|
Form
of Common Stock Warrant
|
8-K
|
000-51354
|
10.3
|
Jan.
12, 2012
|
|
|
Amendment
No. 6 to Note Purchase Agreement dated April 13, 2012 among Aemetis
Advanced Fuels Keyes, Inc., Third Eye Capital Corporation, as
agent, and the Purchasers
|
8-K
|
000-51354
|
10.1
|
Apr.
19, 2012
|
|
|
Limited
Waiver to Note Purchase Agreement dated March 31, 2012 among
Aemetis Advanced Fuels Keyes, Inc., and Third Eye Capital
Corporation, an Ontario corporation, as agent
|
8-K
|
000-51354
|
10.2
|
Apr.
19, 2012
|
|
|
Limited
Waiver to Note and Warrant Purchase Agreement dated March 31, 2012
among Aemetis, Inc., Third Eye Capital Corporation, an Ontario
corporation, as agent, and the Purchasers
|
8-K
|
000-51354
|
10.3
|
Apr.
19, 2012
|
|
|
Amendment
No. 7 to Note Purchase Agreement dated May 15, 2012 among Aemetis
Advanced Fuels Keyes, Inc., Third Eye Capital Corporation, as
agent, and the Purchasers
|
8-K
|
000-51354
|
10.1
|
May
22, 2012
|
|
|
Form
of Note and Warrant Purchase Agreement
|
8-K
|
000-51354
|
10.1
|
Jan.
12, 2012
|
|
|
Form
of 5% Subordinated Note
|
8-K
|
000-51354
|
10.2
|
Jun.
6, 2012
|
|
|
Form
of Common Stock Warrant
|
8-K
|
000-51354
|
10.3
|
Jan.
12, 2012
|
|
|
Note
and Warrant Purchase Agreement dated June 21, 2012 among Third Eye
Capital Corporation, Aemetis Advanced Fuels Keyes, Inc., and
Aemetis, Inc.
|
8-K
|
000-51354
|
10.1
|
Jun.
28, 2012
|
|
|
15%
Subordinated Promissory Note dated June 21, 2012 among Third Eye
Capital Corporation, Aemetis Advanced Fuels Keyes, Inc., and
Aemetis, Inc.
|
8-K
|
000-51354
|
10.2
|
Jun.
28, 2012
|
|
|
Form
of Warrant to Purchase Common Stock
|
8-K
|
000-51354
|
10.3
|
Jan.
12, 2012
|
|
|
Note
Purchase Agreement dated June 27, 2012 among Third Eye Capital
Corporation, Aemetis Advanced Fuels Keyes, Inc., and Aemetis,
Inc.
|
8-K
|
000-51354
|
10.1
|
July
3, 2012
|
|
|
15%
Subordinated Promissory Note dated June 27, 2012 among Third Eye
Capital Corporation, Aemetis Advanced Fuels Keyes, Inc., and
Aemetis, Inc.
|
8-K
|
000-51354
|
10.2
|
July
3, 2012
|
|
|
Agreement
and Plan of Merger, dated July 6, 2012, among Aemetis, Inc., AE
Advanced Fuels, Inc., Keyes Facility Acquisition Corp., and Cilion,
Inc.
|
8-K
|
000-51354
|
2.1
|
July
10, 2012
|
|
|
Stockholders’
Agreement dated July 6, 2012, among Aemetis, Inc., and Western
Milling Investors, LLC, as Security holders’
Representative.
|
8-K
|
000-51354
|
10.1
|
July
10, 2012
|
|
|
Amended
and Restated Note Purchase Agreement, dated July 6, 2012 among
Aemetis Advanced Fuels Keyes, Inc., Keyes Facility Acquisition
Corp., Aemetis, Inc., Third Eye Capital Corporation, as
Administrative Agent, and the Note holders
|
8-K
|
000-51354
|
10.2
|
July
10, 2012
|
|
|
Amended
and Restated Guaranty, dated July 6, 2012 among Aemetis, Inc.,
certain subsidiaries of Aemetis and Third Eye Capital Corporation,
as Agent.
|
8-K
|
000-51354
|
10.3
|
July
10, 2012
|
|
|
Amended
and Restated Security Agreement, dated July 6, 2012 among Aemetis,
Inc., certain subsidiaries of Aemetis and Third Eye Capital
Corporation, as Agent.
|
8-K
|
000-51354
|
10.4
|
July
10, 2012
|
|
|
Investors’
Rights Agreement dated July 6, 2012, by and among Aemetis, Inc.,
and the investors listed on Schedule A thereto.
|
8-K
|
000-51354
|
10.5
|
July
10, 2012
|
|
|
Technology
License Agreement dated August 9, 2012 between Chevron Lummus
Global LLC and Aemetis Advanced Fuels, Inc.
|
8-K
|
000-51354
|
10.1
|
Aug.
22, 2012
|
|
|
Corn
Procurement and Working Capital Agreement dated March 9, 2011
between J.D. Heiskell Holdings LLC and Aemetis Advanced Fuels
Keyes, Inc.*
|
10-K
|
000-51354
|
10.64
|
Oct.
31, 2012
|
|
|
Purchasing
Agreement dated March 9, 2011 between J.D. Heiskell Holdings LLC
and Aemetis Advanced Fuels Keyes, Inc.*
|
10-K
|
000-51354
|
10.65
|
Oct.
31, 2012
|
|
|
WDG
Purchase and Sale Agreement dated March 23, 2011 between A.L.
Gilbert Company and Aemetis Advanced Fuels Keyes, Inc.
|
10-K
|
000-51354
|
10.66
|
Oct.
31, 2012
|
|
|
Keyes
Corn Handling Agreement dated March 23, 2011 among A. L. Gilbert
Company, AE Advanced Fuels Keyes, Inc., and J.D. Heiskell Holdings,
LLC
|
10-K
|
000-51354
|
10.67
|
Oct.
31, 2012
|
|
|
Limited
Waiver and Amendment No. 1 to Amended and Restated Note Purchase
Agreement dated as of October 18, 2012 by and among Aemetis
Advanced Fuels Keyes, Inc., a Delaware corporation, Aemetis
Facility Keyes, Inc., a Delaware corporation, Third Eye Capital
Corporation, an Ontario corporation as agent, Third Eye Capital
Credit Opportunities Fund – Insight Fund, and Sprott PC
Trust.
|
8-K
|
000-51354
|
10.1
|
Oct.
23, 2012
|
|
|
Amendment
No. 1 to Revolving Line of Credit Agreement dated October 16, 2012
by and among Aemetis International, Inc., a Nevada corporation, and
Laird Q. Cagan
|
8-K
|
000-51354
|
10.2
|
Oct.
23, 2012
|
|
|
Note
Purchase Agreement effective as of March 4, 2011, amended January
19, 2012 and July 24, 2012 by and among AE Advanced Fuels, Inc., a
Delaware corporation, and Advanced BioEnergy, LP a California
limited partnership and Advanced BioEnergy GP, LLC, a California
limited liability company.
|
8-K
|
000-51354
|
10.3
|
Oct.
23, 2012
|
|
|
Form
of Convertible Subordinated Promissory Note by and among AE
Advanced Fuels, Inc., a Delaware corporation and Advanced
BioEnergy, LP, a California limited partnership.
|
8-K
|
000-51354
|
10.4
|
Oct.
23, 2012
|
|
|
Amendment
to the Purchasing Agreement dated March 9, 2011 between J.D.
Heiskell Holdings LLC and Aemetis Advanced Fuels Keyes, Inc. dated
September 29, 2012
|
10-K
|
000-51354
|
10.72
|
Apr.
16, 2013
|
|
|
Agreement
for Repayment of Note by Share Issuance dated as of December 31,
2012 by and among Aemetis, Inc., Aemetis International, Inc.,
(formerly known as “International Biodiesel, Inc.”), a
Nevada corporation and wholly-owned subsidiary of the Company, and
Laird Q. Cagan for himself and on behalf of all other holders of
interests in the Revolving Line of Credit (as defined in the
Agreement).
|
8-K
|
000-51354
|
10.1
|
Jan.
7, 2013
|
|
|
Agreement
for Repayment of Note by Share Issuance dated as of December 31,
2012 by and among Aemetis, Inc., Aemetis International, Inc.,
(formerly known as “International Biodiesel, Inc.”), a
Nevada corporation and wholly-owned subsidiary of the Company, and
Laird Q. Cagan for himself and on behalf of all other holders of
interests in the Revolving Line of Credit (as defined in the
Agreement).
|
8-K/A
|
000-51354
|
10.1
|
Feb.
27, 2013
|
|
|
Limited
Waiver and Amendment No. 2 to Amended and Restated Note Purchase
Agreement dated as of February 27, 2013 by and among Aemetis
Advanced Fuels Keyes, Inc., a Delaware corporation, Aemetis
Facility Keyes, Inc., a Delaware corporation, Third Eye Capital
Corporation, an Ontario corporation as agent, Third Eye Capital
Credit Opportunities Fund – Insight Fund, and Sprott PC
Trust.
|
8-K
|
000-51354
|
10.1
|
Mar.
11, 2013
|
|
|
Amendment
No. 1 to Agreement for Repayment of Note by Share Issuance dated as
of April 10, 2013 by and among Aemetis, Inc., Aemetis
International, Inc., a Nevada corporation and wholly-owned
subsidiary of the Company, and Laird Q. Cagan for himself and on
behalf of all other holders of interests in the Revolving Line of
Credit (as defined in the Agreement).
|
10-K
|
000-51354
|
10.77
|
Apr.
16, 2013
|
|
|
Amendment
to the Purchasing Agreement dated March 9, 2011 between J.D.
Heiskell Holdings LLC and Aemetis Advanced Fuels Keyes, Inc. dated
January 2, 2013.
|
10-K
|
000-51354
|
10.76
|
Apr.
16, 2013
|
|
|
Limited
Waiver and Amendment No.3 to Amended and Restated Note Purchase
Agreement dated as of April 15, 2013 by and among Aemetis Advanced
Fuels Keyes, Inc., a Delaware corporation, Aemetis Facility Keyes,
Inc., a Delaware corporation, Third Eye Capital Corporation, an
Ontario corporation as agent, Third Eye Capital Credit
Opportunities Fund – Insight Fund, and Sprott PC
Trust.
|
8-K
|
000-51354
|
10.1
|
Apr.
16, 2013
|
|
|
Amendment
No. 4 to Amended and Restated Note Purchase Agreement dated as of
April 19, 2013 by and among Aemetis Advanced Fuels Keyes, Inc., a
Delaware corporation, Aemetis Facility Keyes, Inc., a Delaware
corporation, Aemetis, Inc., a Nevada corporation, and Third Eye
Capital Corporation, an Ontario corporation, as agent for Third Eye
Capital Insight Fund
|
8-K/A
|
000-51354
|
10.2
|
May
14, 2013
|
|
|
Special
Bridge Advance dated as of March 29, 2013 by and among Aemetis
Advanced Fuels Keyes, Inc., a Delaware corporation, Aemetis, Inc.,
a Nevada corporation, Third Eye Capital Corporation, an Ontario
corporation, as agent for Third Eye Capital Insight
Fund
|
8-K
|
000-51354
|
10.2
|
Apr.
16, 2013
|
|
|
Agreement
For Satisfaction of Note by Share and Note Issuance dated as of
April 18, 2013 between Aemetis, Inc., Aemetis International, Inc.
and Laird Q. Cagan for himself and on behalf of all other holders
of interests in the Revolving Line of Credit dated August 17, 2009
as amended.
|
8-K
|
000-51354
|
10.1
|
Apr.
24, 2013
|
|
|
Amended
and Restated Heiskell Purchasing Agreement dated May 16, 2013, by
and between Aemetis Advanced Fuels Keyes, Inc., a Delaware
corporation and a wholly-owned subsidiary of Aemetis, Inc. and J.D.
Heiskell Holdings, LLC, a California limited liability company
doing business as J.D. Heiskell & Co.*
|
8-K
|
000-51354
|
10.1
|
May
23, 2013
|
|
|
Amended
and Restated Aemetis Keyes Corn Procurement and Working Capital
Agreement, dated May 2, 2013, by and between Aemetis Advanced Fuels
Keyes, Inc., and J.D. Heiskell Holdings, LLC
|
8-K
|
000-51354
|
10.2
|
May
23, 2013
|
|
|
Limited
Waiver and Amendment No.5 to Amended and Restated Note Purchase
Agreement, dated as of July 26, 2013 by and among Aemetis, Inc.,
Aemetis Advanced Fuels Keyes, Inc. Aemetis Facility Keyes, Inc.,
Third Eye Capital Corporation, an Ontario corporation, as agent,
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust
|
8-K
|
000-51354
|
10.1
|
July
31, 2013
|
|
|
Limited
Waiver and Amendment No.6 to Amended and Restated Note Purchase
Agreement, dated as of October 28, 2013 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust.
|
8-K
|
000-51354
|
10.1
|
Nov.
1, 2013
|
|
|
Limited
Waiver and Amendment No.7 to Amended and Restated Note Purchase
Agreement, dated as of May 14, 2014 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust.
|
10-Q
|
000-51354
|
10.1
|
May
15, 2014
|
|
|
Limited
Waiver and Amendment No. 8 to Amended and Restated Note Purchase
Agreement, dated as of November 7, 2014 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust.
|
10-Q/A
|
000-51354
|
10.1
|
Nov.
13, 2014
|
|
|
Limited
Waiver and Amendment No. 9 to Amended and Restated Note Purchase
Agreement, dated as of March 12, 2015 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust.
|
10K
|
000-51354
|
10.1
|
Mar.
12, 2015
|
|
|
Limited
Waiver and Amendment No. 10 to Amended and Restated Note Purchase
Agreement, dated as of April 30, 2015 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital
Corporation,
an Ontario corporation, as agent for Third Eye Capital Credit
Opportunities Fund - Insight Fund, and Sprott PC
Trust.
|
10-Q
|
000-51354
|
10.1
|
May
7, 2015
|
|
|
Limited
Waiver and Amendment No. 11 to Amended and Restated Note Purchase
Agreement, dated as of August 6, 2015 by and among Aemetis,
Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust (incorporated by reference to Exhibit 10.2 of the
Quarterly Report on Form 10-Q filed on August 7,
2015).
|
10-Q
|
000-51354
|
10.1
|
Nov.
5, 2015
|
|
|
Limited
Waiver and Amendment No. 12 to Amended and Restated Note Purchase
Agreement, dated as of March 21, 2016 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust.
|
10-K
|
000-51354
|
10.68
|
Mar.
28, 2016
|
|
|
Binding letter of
intent for the purchase of certain property, plant and equipment in
Goodland, Kansas by Aemetis Advanced Fuels Goodland, Inc., or such
other subsidiary of Aemetis Inc., dated March 22, 2016 from Third
Eye Capital Corporation, in its capacity as attorney-in-fact for
New Goodland Energy Center, LLC.
|
10-K
|
000-51354
|
10.69
|
Mar.
28, 2016
|
|
|
Limited
Waiver and Amendment No. 13 to Amended and Restated Note Purchase
Agreement, dated as of March 1, 2017 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund - Insight Fund, and
Sprott PC Trust.
|
10-K
|
000-51354
|
10.70
|
Mar.
16, 2017
|
|
|
Limited
Waiver and Amendment No. 14 to Amended and Restated Note Purchase
Agreement, dated as of March 27, 2018 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
Third Eye Capital Corporation, an Ontario corporation, as agent for
Third Eye Capital Credit Opportunities Fund – Insight Fund,
and Sprott PC Trust.
|
10-K
|
000-51354
|
10.71
|
Mar.
27, 2018
|
|
|
Promissory
Note, dated as of March 27, 2018 by and among Aemetis, Inc.;
Aemetis Advanced Fuels Keyes, Inc.; Aemetis Facility Keyes, Inc.;
and Third Eye Capital Corporation, an Ontario
corporation,
|
10-K
|
000-51354
|
10.72
|
Mar.
27, 2018
|
X
|
|
Code
of Ethics
|
10-K/A
|
000-51354
|
14
|
May
20, 2009
|
|
|
Subsidiaries
of the Registrant
|
10-K
|
001-36475
|
21
|
March
29, 2018
|
|
|
Consent
of Independent Registered Public Accounting Firm
|
10-K
|
001-36475
|
23
|
March
29, 2018
|
|
|
Power
of Attorney (see signature page)
|
10-K
|
001-36475
|
24
|
March
29, 2018
|
|
|
Certification
of Chief Executive Officer pursuant to Rule 13a-14(a) and Section
302 of the Sarbanes-Oxley Act of 2002
|
|
|
|
|
X
|
|
Certification
of Chief Financial Officer pursuant to Rule 13a-14(a) and Section
302 of the Sarbanes-Oxley Act of 2002
|
|
|
|
|
X
|
|
Certification
of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as
adopted pursuant to Section 906 of the Sarbanes-Oxley Act of
2002
|
10-K
|
001-36475
|
32.1
|
March
29, 2018
|
|
|
Certification
of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as
adopted pursuant to Section 906 of the Sarbanes-Oxley Act of
2002
|
10-K
|
001-36475
|
32.2
|
March
29, 2018
|
|
*Confidential
treatment has been requested for portions of this exhibit. Omitted
portions have been filed separately with the Securities and
Exchange Commission pursuant to Rule 24b-2 of the Securities
Exchange Act of 1934, as amended.
Aemetis (NASDAQ:AMTX)
Historical Stock Chart
From Feb 2024 to Mar 2024
Aemetis (NASDAQ:AMTX)
Historical Stock Chart
From Mar 2023 to Mar 2024