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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-K/A

Amendment No. 1

(Mark One)

 

S ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended December 31, 2012

 

£ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the transition period from __________  to __________

 

Commission file number 000-52767

 

SUNERGY, INC.
(Exact name of registrant as specified in its charter)

 

Nevada   26-4828510
(State or other jurisdiction of incorporation or organization)   (I.R.S. Employer Identification No.)

 

14362 N. Frank Lloyd Wright Blvd., Suite 1000, Scottsdale, AZ   85260
(Address of principal executive offices)   (Zip Code)

 

Registrant's telephone number, including area code:   480.477.5810

 

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

 

Title of Each Class   Name of Each Exchange On Which Registered
N/A   N/A

 

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

 

Common Stock, $0.001 par value


(Title of class)

 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 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 last 90 days. Yes o No x

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 (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registration statement 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 (§229.405 of this chapter)  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. 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 definition 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 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 Common Stock held by non-affiliates of the Registrant on June 30, 2012 was $15,021,291 based on a $0.0085 closing price per share. For purposes of this computation, all executive officers and directors have been deemed to be affiliates. Such determination should not be deemed to be an admission that such executive officers and directors are, in fact, affiliates of the Registrant.

Indicate the number of shares outstanding of each of the registrant’s classes of common stock as of the latest practicable date.

1,860,788,893 as of  April 1, 2013

 

 

 
 

 

EXPLANATORY NOTE

 

The Company is filing this Amendment No. 1 to its Annual Report on Form 10-K for the year ended December 31, 2012 (the “Form 10-K”), which was originally filed with the Securities and Exchange Commission on April 16, 2013, for the sole purpose of furnishing the Interactive Data File as Exhibit 101 in accordance with Rule 405 of Regulation S-T. 

 

No other changes have been made to the Form 10-K. This Amendment does not reflect events that have occurred after the April 16, 2013 filing date of the Form 10-K, or modify or update the disclosures presented therein, except to reflect the amendment described above.

 

 

 

 

 

 

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PART IV

 

Item 15.  Exhibits, Financial Statement Schedules

 

(a)           Financial Statements

 

(1)           Financial statements for our company are listed in the index under Item 8 of this document

 

(2)           All financial statement schedules are omitted because they are not applicable, not material or the required information is shown in the financial statements or notes thereto.

  

(b)           Exhibits

 

Exhibit Number   Description  

(3)

 

  Articles of Incorporation and By-laws  
3.1  

Articles of Incorporation (incorporated by reference from our Registration Statement on Form SB-2 filed on February 23, 2004)

 

 
3.2  

Bylaws (incorporated by reference from our Registration Statement on Form SB-2 filed on February 23, 2004)

 

 
(10)  

Material Contracts

 

 
10.1  

Mineral Property Staking and Purchase Agreement dated April 10, 2003 (incorporated by reference from our Registration Statement on Form SB-2/A filed on June 30, 2004)

 

 
10.2  

Mining Acquisition Agreement dated October 31, 2008 between our company and General Metals Corporation (incorporated by reference from our Current Report on Form 8-K filed on December 10,2008)

 

 
10.3  

Amending Agreement to the Mining Acquisition Agreement dated December 5, 2008 between our company and General Metals Corporation. (incorporated by reference from our Current Report on Form 8-K filed on December 10, 2008)

 

 
10.4  

Membership Purchase Agreement dated October 18, 2010 between our company and Allied Mining and Supply, LLC. (incorporated by reference as exhibit 10.1 of the Form 8-K filed on February 4, 2011)

 

 
(14)  

Code of Ethics

 

 
14.2  

Code of Ethics and Business Conduct

 

 

16.1

 

 

Letter from BDO Canada LLP to the Securities and Exchange Commission (incorporated by reference as exhibit 16.1 from our Form 8-K filed on January 18, 2011).

 

 
(31)  

Rule 13a-14(d)/15d-14(d) Certifications

 

 
31.1*  

Section 302 Certification of Principal Executive Officer, Principal Accounting Officer and Principal Financial Officer

 

 
(32)  

Section 1350 Certifications

 

 
32.1*  

Section 906 Certification of Principal Executive Officer, Principal Accounting Officer and Principal Financial Officer

 

 
99.1  

Form 8-K dated the earliest date of  March 19, 2011 advising that we dismissed Gruber & Company, LLC, as the independent certified accountants for the Company, with whom there were no disagreements (incorporated by reference as exhibit 162 from our Form 8-K filed on May 26, 2011).

 

 
99.2   Form 8-K dated the earliest date of May 2, 2012 advising that we dismissed DeJoya Griffith & Company LLC, as the independent registered accountants for the Company, with whom there were no disagreements (incorporated by reference as exhibit 16.3 from our Form 8-K filed on May 4, 2012).  
99.3*   Temporary Hardship Exemption per Regulation S-T  
101.INS**   XBRL Instance Document  
101.SCH**   XBRL Extension Schema  
101.CAL**   XBRL Calculation Linkbase  
101.DEF**   XBRL Definition Linkbase  
101.LAB**   XBRL Label Linkbase  
101.PRE**   XBRL Presentation Linkbase  

______________________

* Previously Filed .

** Filed or furnished herewith. 

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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.

 

SUNERGY, INC.

 

 

 

By:  /s/ Garrett Hale

Garrett Hale, President

and Director, (Principal Executive Officer)

 

 

 

By:  /s/ Garrett Hale

Garrett Hale, Chief Financial Officer

and Director, (Principal Accounting Officer)

 

   

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

 

 

By:  /s/ Garrett Hale

Garrett Hale, President

and Director

 

Date: April 23, 2013

 

 

By:  /s/ Larry Bigler

Larry Bigler

Chairman

Date: April 23, 2013

 

 

By:  /s/ Robert A. Levich Robert A. Levich

Director

Date: April 23, 2013

 

 

By:  /s/ Gary Houck

Gary Houck

Director

Date: April 23, 2013

 

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