Attached files
| file | filename |
|---|---|
| EX-10.3 - HYDROZONIX EXCLUSIVE PRODUCT PURCHASE AND SUBLICENSE AGREEMENT - ECOSPHERE TECHNOLOGIES INC | esph_ex103.htm |
| EX-10.7 - SECOND AMENDMENT TO EES LLC AGREEMENT - ECOSPHERE TECHNOLOGIES INC | esph_ex107.htm |
| EX-32.1 - CERTIFICATION - ECOSPHERE TECHNOLOGIES INC | esph_ex321.htm |
| EX-31.1 - CERTIFICATION - ECOSPHERE TECHNOLOGIES INC | esph_ex311.htm |
| EX-31.2 - CERTIFICATION - ECOSPHERE TECHNOLOGIES INC | esph_ex312.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
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þ
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the quarterly period ended March 31, 2011
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OR
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o
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from ________________ to ________________
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Commission file number 000-25663
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Ecosphere Technologies, Inc.
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(Exact name of registrant as specified in its charter)
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Delaware
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20-350286
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(State or other jurisdiction of
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(I.R.S. Employer
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incorporation or organization)
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Identification No.)
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3515 S.E. Lionel Terrace, Stuart, Florida
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34997
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including area code: (772) 287-4846
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 during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes þNo 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.
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Large accelerated filer
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Accelerated filer
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þ
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Non-accelerated filer
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o
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Smaller reporting company
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o
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(Do not check if a smaller reporting company)
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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
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Class
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Outstanding at May 6, 2011
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Common Stock, $0.01 par value per share
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142,421,093 shares
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EXPLANATORY NOTE
This Form 10-Q/A is being filed to include previously redacted information in two exhibits and also includes the certifications previously filed and furnished.
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ITEM 6. EXHIBITS.
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Exhibit
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Incorporated by Reference
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Filed or Furnished
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No.
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Exhibit Description
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Form
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Date
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Number
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Herewith
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3.1
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Certificate of Incorporation
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10-QSB
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12/11/06
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3.1
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3.2
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Certificate of Amendment
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10-K
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3/25/09
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3.2
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3.3
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Certificate of Correction
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10-K
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3/25/09
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3.3
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3.4
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Bylaws
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10-QSB
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12/11/06
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3.2
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3.5
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Amendment to the Bylaws adopted June 17, 2008
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10-Q
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11/13/08
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3.3
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3.6
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Amendment to the Bylaws adopted August 12, 2010
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10-Q
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8/16/10
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3.6
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4.1
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Amended and Restated 2006 Equity Incentive Plan
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10-Q
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8/16/10
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10.1
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4.2
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Amendment to the Amended and Restated 2006 Equity Incentive Plan
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S-8
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3/25/11
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4.2
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10.1
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Summary of Employment Arrangement - Vinick*
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10-Q
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5/10/11
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10.1
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10. 2
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Summary of Employment Arrangement - McGuire*
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10-K
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3/16/11
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10.2
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Hydrozonix Exclusive Product Purchase and Sublicense Agreement**
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Filed**
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10.4
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Southwestern Energy Services Agreement**
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10-Q
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8/16/10
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10.16
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10.5
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Newfield Exploration Services Agreement**
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10-Q
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8/16/10
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10.17
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10.6
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EES Side Letter Agreement - Hydrozonix**
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10-Q
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5/10/11
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10.6
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Second Amendment to EES LLC Agreement
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Filed
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Certification of Principal Executive Officer (Section 302)
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Filed
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Certification of Principal Financial Officer (Section 302)
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Filed
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Certification of Principal Executive Officer and Principal Financial Officer (Section 906)
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Furnished
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*Management contract or compensatory plan.
**Filed pursuant to a confidential treatment request for certain portions of this document. Portions of the exhibit have been omitted pursuant to a request for confidential treatment.
Copies of this report (including the financial statements) and any of the exhibits referred to above will be furnished at no cost to our shareholders who make a written request to Ecosphere Technologies, Inc., 3515 S.E. Lionel Terrace, Stuart, Florida 34997 Attention: Jacqueline McGuire, Secretary.
3
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.
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ECOSPHERE TECHNOLOGIES, INC.
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December 1, 2011
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/s/ Charles Vinick
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Charles Vinick
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Chief Executive Officer
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(Principal Executive Officer)
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December 1, 2011
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/s/ Adrian Goldfarb
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Adrian Goldfarb
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Chief Financial Officer
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(Principal Financial Officer)
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4