Attached files

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EX-23.1 - UHY LLP CONSENT INCORPORATION OF REPORT IN S-1 - ABVC BIOPHARMA, INC.uhyconsents1.htm
EX-31.2 - CFO CERTIFICATION - ABVC BIOPHARMA, INC.cfocertification.htm
EX-31.1 - CEO CERTIFICATION - ABVC BIOPHARMA, INC.ceocertification.htm
EX-32.1 - JOINT CERTIFICATION - ABVC BIOPHARMA, INC.jointcertification.htm

 
 
UNITED STATES
 
Securities and Exchange Commission
Washington, D.C. 20549

Form 10-K/A
     
x
 
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the fiscal year ended September 30, 2010
     
o
 
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: 333-91436
 
ECOLOGY COATINGS, INC.
(Exact name of registrant as specified in its charter)
     
Nevada
 
26-0014658
(State or other jurisdiction of incorporation or organization)
 
(I.R.S. Employer Identification No.)
 
24663 Mound Road, Warren, MI  48091
 
(Address of principal executive offices) (Zip Code)
 
(586) 486-5308
 
(Registrant’s telephone number)
 
Securities registered pursuant to Section 12(b) of the Exchange Act: None.
 
Securities registered pursuant to Section 12(g) of the Exchange Act:
     
Common Stock, $0.001 par value
 
OTCBB
(Title of class)
 
(Name of exchange on which registered)
 
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.  Yes □  No x
 
Check whether the issuer is not required to file reports pursuant to Section 13 or 15(d) of the Exchange Act.
 
Yes o No x
 
Check whether the issuer (1) filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the past 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 website, 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 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 of this Form 10-K.  □
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or smaller reporting company.
 
Large accelerated filer  □                       Accelerated filer  □
 
Non-accelerated filer  □                         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
 
As of March 31, 2010, approximately 8,003,384 shares of our common stock, par value $0.001 per share, were held by non-affiliates, which had a market value of approximately $2,160,914 based on the available OTCBB closing price of $.27 per share.
 
State the number of shares outstanding of each of the issuer’s classes of common equity, as of the latest practicable date: The number of shares of common stock of the registrant outstanding as of December 31, 2010 was 49,917,261.
 
Documents Incorporated by Reference:  Portions of the Proxy Statement for the Registrant’s 2011 Annual Meeting of Stockholders are incorporated by reference in Part III of this Form 10-K.

 
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EXPLANATORY NOTE
 
This amendment to our Annual Report on Form 10-K for the fiscal year ended September 30, 2010 which was filed on January 13, 2011 is being filed solely to provide Exhibit 23.1 as an Exhibit to Form 10-K.  This Exhibit is the consent by our independent registered public accounting firm, UHY LLP, which was inadvertently omitted from the filing. All other items of our Annual Report on Form 10-K are unaffected by the change described above and have been omitted from this Form 10-K/A.
 
Part II
Item 15. Exhibits

The Exhibit index listed under Item 15(b) of Part III of our Annual Report on Form 10-K is amended to include Exhibit 23.1 as an exhibit.

Exhibit Index
   
Exhibit
 
Number
Description
23.1*
Consent of UHY LLP, an independent registered public accounting firm for incorporation of audit opinion by reference into Form S-8
   
31.1*
Certification of the Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
   
31.2*
Certification of the Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
   
32.1*
Certification of the Chief Executive Officer and Chief Financial Officer Certifications pursuant to 18 U.S.C. Section 1350,  as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
   
* Filed herewith.

 
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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 on Form 10-K/A to be signed on its behalf by the undersigned, thereunto duly authorized, this 14th day of January, 2011.
 
Date:
  January 14, 2011
 
ECOLOGY COATINGS, INC.
     
(Registrant)
       
     
By: /s/ Robert G. Crockett
     
Robert G. Crockett
     
Its:  Chief Executive Officer
     
  (Authorized Officer)
       
     
By:  /s/ Kevin Stolz
     
Kevin Stolz
     
Its:  Chief Financial Officer
     
(Principal Financial Officer and Principal Accounting Officer)

 
 

 
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