Attached files
file | filename |
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EX-31.1 - EX-31.1 - DRI CORP | d78191exv31w1.htm |
EX-31.2 - EX-31.2 - DRI CORP | d78191exv31w2.htm |
EX-10.45.1 - EX-10.45.1 - DRI CORP | d78191exv10w45w1.htm |
EX-10.43.1 - EX-10.43.1 - DRI CORP | d78191exv10w43w1.htm |
EX-10.44.1 - EX-10.44.1 - DRI CORP | d78191exv10w44w1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-Q/A
(Amendment No. 1)
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
OF THE SECURITIES EXCHANGE ACT OF 1934
For the Quarterly Period Ended September 30, 2009
Commission File Number 000-28539
DRI CORPORATION
(Exact name of Registrant as specified in its Charter)
North Carolina (State or other jurisdiction of incorporation or organization) |
56-1362926 (I.R.S. Employer Identification Number) |
13760 Noel Road, Suite 830
Dallas, Texas 75240
(Address of principal executive offices, Zip Code)
Dallas, Texas 75240
(Address of principal executive offices, Zip Code)
Registrants telephone number, including area code: (214) 378-8992
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 þ 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 o No o
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 o | Accelerated filer o | Non-accelerated filer o | Smaller Reporting Company þ | |||
(Do not check if a 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 o No þ
Indicate the number of shares outstanding of the registrants Common Stock as of October 29,
2010:
Common Stock, par value $.10 per share (Class of Common Stock) |
11,838,873 Number of Shares |
EXPLANATORY NOTE
This Amendment No. 1 on Form 10-Q/A (this Amendment No. 1) is being filed to amend
our Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2009 (the
Quarterly Report), as originally filed with the U.S. Securities and Exchange Commission
(the Commission) on November 16, 2009 (the Original Filing Date). This
Amendment No. 1 is being filed in response to communications
with the Commission in connection with a
request for confidential treatment under Rule 24b-2 promulgated under the Securities Exchange Act
of 1934, as amended (the Exchange Act), with respect to Exhibit 10.43.1, Exhibit 10.44.1
and Exhibit 10.45.1 (collectively, the Exhibits) originally filed with the Quarterly
Report. The sole purpose of this Amendment No. 1 is to file revised redacted versions of the
Exhibits. Certain portions of the information that was omitted from the Exhibits have now been
included.
Except for the revised Exhibits, this Amendment No. 1 does not amend any other information set
forth in the Quarterly Report. This Amendment No. 1 speaks as of the Original Filing Date, does
not reflect events that may have occurred subsequent to the Original Filing Date, and does not
modify or update in any way any disclosures made in the Quarterly Report. Additionally, in
connection with the filing of this Amendment No. 1 and pursuant to Rule 12b-15 of the Exchange Act,
the certifications of our principal executive officer and principal financial officer are also
attached as exhibits hereto.
PART II OTHER INFORMATION
ITEM 6. EXHIBITS
The following documents are filed as exhibits to this Amendment No. 1 on Form 10-Q/A:
Exhibit | ||
Number | Description | |
10.43.1*
|
First Amendment to the Quota Purchase Agreement, dated as of August 31, 2009, by and among Mobitec Empreendimientos e Participações Ltda., Roberto Juventino Demore, Lorena Giusti Demore, JADI Itinerários Eletrônicos Ltda., Mobitec AB and Mobitec Brasil Ltda. (filed herewith). | |
10.44.1*
|
Promissory Note, dated as of August 31, 2009, executed by Mobitec Empreendimientos e Participações Ltda. in favor of Roberto Juventino Demore (filed herewith). | |
10.45.1*
|
Promissory Note, dated as of August 31, 2009, executed by Mobitec AB in favor of Roberto Juventino Demore (filed herewith). | |
31.1
|
Section 302 Certification of Chief Executive Officer (filed herewith). | |
31.2
|
Section 302 Certification of Chief Financial Officer (filed herewith). | |
32.1
|
Section 906 Certification of Chief Executive Officer (incorporated by reference to Exhibit 32.1 to DRI Corporations Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2009, as filed with the Commission on November 16, 2009). | |
32.2
|
Section 906 Certification of Chief Financial Officer (incorporated by reference to Exhibit 32.2 to DRI Corporations Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2009, as filed with the Commission on November 16, 2009). |
* | Certain confidential portions have been omitted pursuant to a confidential treatment request filed separately with the Securities and Exchange Commission. |
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) 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.
DRI CORPORATION
Signature: | /s/ Kathleen B. Oher | |||
By: | Kathleen B. Oher | |||
Title: | Chief Financial Officer (Principal Financial and Accounting Officer) | |||
Date: | December 6, 2010 |
INDEX TO EXHIBITS
The following documents are filed as exhibits to this Amendment No. 1 on Form 10-Q/A:
Exhibit | ||
Number | Description | |
10.43.1*
|
First Amendment to the Quota Purchase Agreement, dated as of August 31, 2009, by and among Mobitec Empreendimientos e Participações Ltda., Roberto Juventino Demore, Lorena Giusti Demore, JADI Itinerários Eletrônicos Ltda., Mobitec AB and Mobitec Brasil Ltda. (filed herewith). | |
10.44.1*
|
Promissory Note, dated as of August 31, 2009, executed by Mobitec Empreendimientos e Participações Ltda. in favor of Roberto Juventino Demore (filed herewith). | |
10.45.1*
|
Promissory Note, dated as of August 31, 2009, executed by Mobitec AB in favor of Roberto Juventino Demore (filed herewith). | |
31.1
|
Section 302 Certification of Chief Executive Officer (filed herewith). | |
31.2
|
Section 302 Certification of Chief Financial Officer (filed herewith). | |
32.1
|
Section 906 Certification of Chief Executive Officer (incorporated by reference to Exhibit 32.1 to DRI Corporations Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2009, as filed with the Commission on November 16, 2009). | |
32.2
|
Section 906 Certification of Chief Financial Officer (incorporated by reference to Exhibit 32.2 to DRI Corporations Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2009, as filed with the Commission on November 16, 2009). |
* | Certain confidential portions have been omitted pursuant to a confidential treatment request filed separately with the Securities and Exchange Commission. |