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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.



1

 

 

Item 15. Exhibits, Financial Statement Schedules.

 

  (b) The following exhibits are filed herewith as a part of this Amendment.

 

Exhibit

Number

  Description
     
31.1   Certification of Principal Executive Officer filed pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
     
31.2   Certification of Principal Financial Officer filed pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 

2

 

 

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 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
/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
         
/s/ Bruce A. Cassidy, Sr.        
Bruce A. Cassidy, Sr.   Director   June 21, 2021
         
/s/ Roger Tichenor        
Roger Tichenor   Director   June 21, 2021
         
/s/ Michael J. Valentino        
Michael J. Valentino   Director   June 21, 2021
         
/s/ Denise Penz        
Denise Penz   Director   June 21, 2021
         
/s/ Amish Patel        
Amish Patel   Director   June 21, 2021
         
/s/ James C. Diggs        
James C. Diggs   Director   June 21, 2021

 

 

 

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