Amended Quarterly Report (10-q/a)
August 15 2018 - 5:19PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D. C. 20549
FORM
10-Q/A
(First
Amendment)
(Mark
One)
[X]
|
QUARTERLY
REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For
the fiscal quarter ended
June 30, 2018
[ ]
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TRANSITION
REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT
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For
the transition period from to
STEM
HOLDINGS, INC.
(Exact
name of small business issuer as specified in its charter)
Nevada
|
|
000-55751
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61-1794883
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(State
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(Commission
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(IRS Employer
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of Incorporation)
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File Number)
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Identification No.)
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7777
Glades Road, Suite 203,
Boca
Raton, FL 33434
(Address
of principal executive offices) (Zip code)
Issuer’s
telephone number: (561) 948-5410
Securities
registered under Section 12(g) of the Exchange Act:
Common Stock par value $0.0001
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 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 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 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. [ ]
Large
Accelerated Filer [ ]
|
|
Accelerated
Filer [ ]
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Non-accelerated
Filer [ ]
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(Do not check if a smaller reporting company)
|
Smaller Reporting
Company [X]
|
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [X]
Indicate
by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes [ ] No
[X]
There
were 9,388,693 shares outstanding of registrant’s common stock, par value $0.001 per share, as of August 10, 2018.
Transitional
Small Business Disclosure Format (check one): Yes [ ] No [X]
Explanatory
Note
The
purpose of this First Amendment to Stem Holdings, Inc.’s Quarterly Report on Form 10-Q for the three months ending June
30, 2018 (the “Form 10-Q”), as filed with the Securities and Exchange Commission on August 14, 2018 is to furnish
Exhibits 101 to the Form 10-Q in accordance with Rule 201(c) and Rule 405 of Regulation S-T. Exhibits 101 provide the financial
statements and related notes from the Form 10-Q formatted in XBRL (eXtensible Business Reporting Language). This First Amendment
to the Form 10-Q also updates the Exhibit Index to reflect the furnishing of Exhibits 101.
No
other changes have been made to the Form 10-Q. This First Amendment to the Form 10-Q continues to speak as of the original filing
date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify
or update in any way the disclosures made in the original Form 10-Q.
Item
6. Exhibits.
*
|
Filed
as an exhibit to the original Form 10-Q for the quarter ended June 30, 2018, filed August 14, 2018.
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In
accordance with SEC rules, this interactive data file is deemed “furnished” and not “filed” for purposes
of Sections 11 or 12 of the Securities Act of 1933 and Section 18 of the Securities and Exchange Act of 1934, and otherwise
is not subject to liability under those sections or acts.
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SIGNATURES
In
accordance with the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the
Registrant and in the capacities and on the dates indicated.
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STEM HOLDINGS, INC.
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Date:
August 15, 2018
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By:
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/s/
Adam Berk
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Adam
Berk
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|
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Chief
Executive Officer
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Stem (CE) (USOTC:STMH)
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