Amended Quarterly Report (10-q/a)
July 06 2020 - 6:31AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
10-Q
Amendment
No. 1
(Mark
One)
[X]
|
QUARTERLY
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
For
the quarterly period 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 001-35817
CANCER
GENETICS, INC.
(Exact
name of registrant as specified in its charter)
Delaware
|
|
04-3462475
|
State
or Other Jurisdiction of
Incorporation
or Organization
|
|
I.R.S.
Employer
Identification
No.
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201
Route 17 North 2nd Floor Rutherford, NJ
|
|
07070
|
Address
of Principal Executive Offices
|
|
Zip
Code
|
(201)
528-9200
Registrant’s
Telephone Number, Including Area Code
Former
Name, Former Address and Former Fiscal Year, if Changed Since Last Report
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
symbol
|
|
Name
of exchange on which registered
|
Common
Stock, $0.0001 par value per share
|
|
CGIX
|
|
NASDAQ
Capital Market
|
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 [X] No [ ]
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 [X] No [ ]
Indicate
by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a 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
|
[X]
|
|
Smaller
reporting company
|
[X]
|
|
|
|
|
|
|
|
|
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 is a shell company (as defined in Rule 12b-2 of the Act). Yes [ ] No [X]
As
of June 19, 2020, there were 2,260,883 shares of common stock, par value $0.0001 of Cancer Genetics, Inc. outstanding.
EXPLANATORY
NOTE
The
sole purpose of this Amendment No. 1 on Form 10-Q/A (the “Amendment”) to the Quarterly Report on Form 10-Q of Cancer
Genetics, Inc. (the “Company”) for the fiscal quarter ended March 31, 2020 that was filed with the Securities and
Exchange Commission (the “SEC”) on June 24, 2020 (the “Form 10-Q”) is to add this Explanatory Note disclosing
that, as previously disclosed in the Company’s Current Report on Form 8-K as filed with the SEC on May 14, 2020 (the “Form
8-K”) and in accordance with the SEC’s order under Section 36 of the Securities Exchange Act of 1934, as amended (the
“Exchange Act”) granting exemptions from specified provisions of the Exchange Act and certain rules thereunder (Release
No. 34-88318), as superseded by a subsequent order (Release No. 34-88465) issued on March 25, 2020 (collectively, the “Order”),
the Company relied on the relief provided by the Order to delay filing its Quarterly Report on Form 10-Q for the quarterly period
ended March 30, 2020.
The
Company experienced significant disruptions due to the COVID-19 pandemic and related mandated social distancing and shelter-in-place
orders, resulting in the delay of the filing of the Form 10-Q. In particular, COVID-19 has caused severe disruptions in critical
personnel’s transportation and limited access to the Company’s facilities in Rutherford, New Jersey (just outside
of Manhattan) negatively impacting the ability of its staff and professional advisors to perform their various functions. This
has, in turn, delayed the Company’s ability to prepare the Form 10-Q.
No
other changes have been made to the Form 10-Q, except that Part II, Item 6, is also being amended to refer to the updated Exhibit
Index that is included herein for the purpose of including abbreviated officer certifications that are being filed herewith.
Item
6. Exhibits
SIGNATURE
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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Cancer
Genetics, Inc.
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|
|
(Registrant)
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Date:
July 6, 2020
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/s/
John A. Roberts
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John
A. Roberts
|
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President
and Chief Executive Officer
(Principal
Executive Officer)
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|
|
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Date:
July 6, 2020
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/s/
M. Glenn Miles
|
|
|
M.
Glenn Miles
|
|
|
Chief
Financial Officer
(Principal
Financial and Accounting Officer)
|
Cancer Genetics (NASDAQ:CGIX)
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