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REEDS INC 10-K 2013

SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549

 

FORM 10-K/A

Amendment No. 2

ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF

THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2012

 

Commission File Number 000-32501

_______________ 

 

REED’S, INC.

_____________

(Exact name of registrant as specified in its charter)

 

Delaware   35-2177773
State or other jurisdiction of incorporation or organization   I.R.S. Employer Identification Number
     
13000 South Spring Street    
Los Angeles, California   90061
Address of principal executive offices   Zip Code

 

(310) 217-9400

Registrant’s telephone number, including area code

Securities registered pursuant to Section 12(b) of the Act:

     

Title of Class

 

Name of each exchange where registered

Common Stock, $.0001 par value per share   NYSE MKT

 

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 of the Securities Act. Yes o No x

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes o No x

 

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 o

 

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 x No o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. x

 

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 definition of “large accelerated filer,” “accelerated filer” and “small reporting company” in Rule 12b-2 of the Exchange Act.

 

Large Accelerated filer o        Accelerated filer o        Non-accelerated filer  o       Smaller reporting company x

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x

 

The aggregate market value of the voting and non-voting common equity held by non-affiliates (excluding voting shares held by officers and directors) as of June 30, 2012 was $26,080,000.

 

12,500,833 common shares, $.001 par value, were outstanding on March 13, 2013.

 

 
 

 

 

 

Explanatory Note

 

The sole purpose of this Amendment No. 2 to our Annual Report on Form 10-K (“Amendment”) for the fiscal year ended December 31, 2012 (the “Form 10-K”) is to file a consent of our auditors to include in our Registration Statement on Form S-3 (Registration No. 333-172614) their report dated March 25, 2013, relating to the financial statements appearing in the Form 10-K. This consent is attached hereto as Exhibit 23.1. This is an exhibit-only filing. The original Form 10-K was filed with the Securities and Exchange Commission on March 26, 2012. Except as expressly noted herein, this Amendment does not amend any other information set forth in the Form 10-K, and we have not updated disclosures contained therein to reflect any events that occurred subsequent to the date of such Form 10-K. In addition, in connection with the filing of this Amendment and pursuant to Rule 12b-15 of the Securities Exchange Act of 1934, as amended, the certifications of our Chief Executive Officer and Chief Financial Officer are attached as exhibits to this Amendment.

 

 

 

PART IV

 

Item 15. Exhibits and Financial Statements

 

Exhibits

 

23.1

Consent of Weinberg & Co., P.A., filed herewith.

31.1 Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith.
31.2 Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, filed herewith.
32.1 Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, filed herewith.

32.2

Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, filed herewith 

 

In accordance with SEC Release 33-8238, Exhibits 32.1 and 32.2 are being furnished and not filed.

 

 

 

 

 

 

 

 

 

 

 

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SIGNATURES

 

In accordance with Section 13 or 15(d) of the Exchange Act, the registrant caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

     
Date: August 19, 2013

REED’S, INC.

a Delaware corporation

     
  By:   /s/ Christopher J. Reed            
Christopher J. Reed

Chief Executive Officer

 

In accordance with the Exchange Act, this 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/ Christopher J. Reed   Chief Executive Officer, President and Chairman of the Board of Directors   August 19, 2013
Christopher J. Reed   (Principal Executive Officer)    
         
/s/ James Linesch   Chief Financial Officer   August 19, 2013
James Linesch   (Principal Financial Officer and Principal Accounting Officer)     
         
/s/ Judy Holloway Reed   Director   August 19, 2013
Judy Holloway Reed        
         
/s/ Mark Harris   Director   August 19, 2013
Mark Harris        
         
/s/ Daniel S.J. Muffoletto   Director   August 19, 2013
Daniel S.J. Muffoletto        
         
/s/ Michael Fishman   Director   August 19, 2013
Michael Fishman        

 

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