Annual Reports

 
Quarterly Reports

  • 10-Q (May 10, 2012)
  • 10-Q (Nov 9, 2011)
  • 10-Q (Aug 9, 2011)
  • 10-Q (May 19, 2011)
  • 10-Q (May 5, 2011)
  • 10-Q (Apr 22, 2011)

 
8-K

 
Other

Comverge 10-Q 2011

Documents found in this filing:

  1. 10-Q/A
  2. Ex-10.1
  3. Ex-31.1
  4. Ex-31.2
  5. Ex-31.2
form10qa.htm



 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
 
FORM 10-Q/A
(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 June 30, 2010
 
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: 001-33399
 
 
 
Comverge, Inc.
(Exact name of Registrant as specified in its charter)
 
 
 
 
     
Delaware
 
22-3543611
(State or other jurisdiction of
incorporation or organization)
 
(IRS Employer
Identification No.)
   
5390 Triangle Parkway, Suite 300
Norcross, Georgia
 
30092
(Address of principal executive offices)
 
(Zip Code)
 
(678) 392-4954
(Registrant’s telephone number including area code)
 
 
 
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 (§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 whether the Registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. (See definition of “accelerated filer” and “large accelerated filer” in Rule 12b-2 of the Exchange Act). (Check one):
 
             
Large accelerated filer
 
¨
  
Accelerated filer
 
x
       
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   x
 
There were 25,322,633 shares of the Registrant’s common stock, $0.001 par value per share, outstanding on May 6, 2011.

 
 

 

 
Comverge, Inc.
 
Index to Form 10-Q/A
 
 
  
Page
 
  
 
3
  
   
Part II - Other Information
  
     
   
  
 
4
  
   
  
 
5
  
   
Exhibit Index
  
     

 

 
EXPLANATORY NOTE
 

 
This Amendment No. 1 (“Amendment”) on Form 10-Q/A amends the quarterly report on Form 10-Q of Comverge, Inc. (the “Company”) for the period ended June 30, 2010, as filed with the Securities and Exchange Commission (the “Commission”) on July 30, 2010 (“Form 10-Q”). No revisions are being made to the Company’s financial statements and, except as described below, this Amendment does not reflect events occurring after the filing of the Form 10-Q, or modify or update those disclosures that may be affected by subsequent events, and no other changes are being made to any other disclosure contained in the Form 10-Q.
 
This Amendment is an exhibit-only filing in response to comments received from the staff of the Securities and Exchange Commission regarding a request for confidential treatment of certain portions of Exhibit 10.1 originally filed with the Form 10-Q. This Amendment is being filed solely to re-file Exhibit 10.1. Except for the changes to Exhibit 10.1, this Amendment does not otherwise update any exhibits as originally filed or previously amended.
 
In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed herewith as exhibits to this Amendment.
 

 
 

 


 
Part II – Other Information
 
Item 6:
Exhibits
 
The following documents are filed as exhibits to this report:
 
10.1†
Joint Venture Master Agreement, by and between the Company and Projects International, Inc., dated June 11, 2010.
 
31.1
Certification of the Company’s Chief Executive Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 
31.2
Certification of the Company’s Chief Financial Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 
Portions of this exhibit have been redacted pursuant to a confidential treatment request filed with the Securities and Exchange Commission.

 
Signatures
 
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.
 
                 
       
Comverge, Inc.
(Registrant)
       
 
May 19, 2011
     
By:
 
/s/ R. Blake Young
(Date)
         
R. Blake Young
               
President and Chief Executive Officer
(Principal Executive Officer)
       
 
May 19, 2011
     
By:
 
/s/ Michael D. Picchi
(Date)
         
Michael D. Picchi
               
Executive Vice President and Chief Financial Officer
(Principal Financial Officer)


 
 

 



INDEX TO EXHIBITS


Exhibit No.
Description
10.1†
Joint Venture Master Agreement, by and between the Company and Projects International, Inc., dated June 11, 2010.
 
31.1
Certification of the Company’s Chief Executive Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 
31.2
Certification of the Company’s Chief Financial Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
 
Portions of this exhibit have been redacted pursuant to a confidential treatment request filed with the Securities and Exchange Commission.



 
 

 

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