Amended Annual Report (10-k/a)
June 21 2021 - 10:51AM
Edgar (US Regulatory)
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2020
FY
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2019-12-01
2020-11-30
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2020-05-31
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2021-06-17
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
10-K/A
(Amendment
No. 1)
(Mark
One)
☒ ANNUAL
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For
the fiscal year ended November 30, 2020
OR
☐ TRANSITION
REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For
the transition period from ______ to ______
Commission
file number 333-226979
|
Assisted
4 Living, Inc.
|
|
|
(Exact
name of registrant as specified in its charter)
|
|
Nevada
|
|
82-1884480
|
(State
or other jurisdiction of
incorporation
or organization)
|
|
(I.R.S.
Employer
Identification
No.)
|
5115
East State Road 64, Bradenton, Florida
|
|
34208
|
(Address
of principal executive offices)
|
|
(Zip
Code)
|
Registrant’s
telephone number, including area code: (855) 668-3331
Securities
registered pursuant to Section 12(b) of the Act: None
Securities
registered pursuant to Section 12(g) of the Act: None
Indicate
by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 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 Exchange Act Yes
☒ No ☐
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 last 90 days. Yes ☐ No ☒ Explanatory Note: Even
though not required, registrant has filed all Exchange Act reports for the preceding 12 months.
Indicate
by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files).). Yes ☒ No ☐
Indicate
by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company,
or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller
reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
|
Large
accelerated filer
|
☐
|
Accelerated
filer
|
☐
|
|
|
Non-accelerated Filer
|
☒
|
Smaller
reporting company
|
☒
|
|
|
|
|
Emerging
Growth Company
|
☒
|
|
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 has filed a report on and attestation to its management’s assessment of the effectiveness
of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered
public accounting firm that prepared or issued its audit report. ☐
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 common stock held by non-affiliates of the Registrant on May 31, 2020, the last business day of the Registrant’s
most recently completed second fiscal quarter was approximately $83,000, based on the closing stock price.
As
of June 17, 2021, there were 40,345,418 shares of the registrant’s common stock issued and outstanding.
DOCUMENTS
INCORPORATED BY REFERENCE
None.
EXPLANATORY
NOTE
This
Amendment No. 1 on Form 10-K/A (this “Amendment”) of Assisted 4 Living, Inc. (the “Company”) amends the Company’s
Annual Report on Form 10-K for the year ended November 30, 2020 (the “Original Report”), originally filed with the Securities
and Exchange Commission on March 1, 2021 (the “Original Filing Date”). This Amendment is being filed solely for the purpose
of indicating on the cover page that registrant is not currently required to file all reports required by Section 15(d) of the Exchange
Act, even though it has filed all Section 15(d) Exchange Act reports for the preceding 12 months. The applicable check boxes were inadvertently
checked incorrectly in the Original Report.
In
addition, pursuant to Rule 12b-15 of the Securities Exchange Act of 1934, as amended, this Amendment contains currently dated certifications
by the Company’s principal executive officer and principal financial officer, which are being filed 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 such certifications have been omitted. Similarly, because no
financial statements have been included in this Amendment, certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 have
been omitted.
This
Amendment consists solely of the preceding cover page, this explanatory note, the exhibit index, the signature page and the certifications.
Other
than as expressly set forth above, no other changes have been made to the Original Report. This Amendment speaks as of the Original Filing
Date of the Original Report, 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 Report. Accordingly, this Amendment should be read in conjunction with the Original
Report and the Company’s other filings with the Securities and Exchange Commission.
Item
15. Exhibits, Financial Statement Schedules.
|
(b)
|
The
following exhibits are filed herewith as a part of this Amendment.
|
SIGNATURES
Pursuant
to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Amendment to the
Original Report to be signed on its behalf by the undersigned, thereunto duly authorized.
|
ASSISTED
4 LIVING, INC.
|
|
|
|
Date:
June 21, 2021
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By:
|
/s/
Louis Collier, Jr.
|
|
|
Louis
Collier, Jr.
Chief
Executive Officer, Principal
Executive Officer and President
|
Pursuant
to the requirements of the Securities Exchange Act of 1934, this Amendment to the Original Report has been signed below by the following
persons on behalf of the registrant and in the capacities and on the dates indicated.
Signature
|
|
Title
|
|
Date
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/s/
Louis Collier, Jr.
|
|
|
|
|
Louis
Collier, Jr.
|
|
Chief
Executive Office, Principal Executive Officer and President
|
|
June
21, 2021
|
|
|
|
|
|
/s/
Janet Huffman
|
|
|
|
|
Janet
Huffman
|
|
Chief
Financial Officer, Principal Financial Officer and Principal Accounting Officer
|
|
June
21, 2021
|
|
|
|
|
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/s/ Bruce A. Cassidy,
Sr.
|
|
|
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Bruce
A. Cassidy, Sr.
|
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Director
|
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June
21, 2021
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|
|
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/s/ Roger Tichenor
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|
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Roger
Tichenor
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Director
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June
21, 2021
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|
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/s/ Michael J. Valentino
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|
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Michael
J. Valentino
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|
Director
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June
21, 2021
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|
|
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/s/ Denise Penz
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|
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Denise
Penz
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Director
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June
21, 2021
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|
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/s/ Amish Patel
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|
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Amish
Patel
|
|
Director
|
|
June
21, 2021
|
|
|
|
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/s/ James C. Diggs
|
|
|
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James
C. Diggs
|
|
Director
|
|
June
21, 2021
|
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