Attached files

file filename
EX-10.1 - GLENCORE CONTRACT - EL CAPITAN PRECIOUS METALS INCp0429a1_ex10-1.htm
EX-31.2 - 302 CERTIFICATION OF CFO - EL CAPITAN PRECIOUS METALS INCp0429a1_ex31-2.htm
EX-31.1 - 302 CERTIFICATION OF CEO - EL CAPITAN PRECIOUS METALS INCp0429a1_ex31-1.htm

 

 

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-Q/A

 

þ   QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
     
For The Quarterly Period Ended March 31, 2014
     
¨   TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For the transition period from __________ to __________

 

Commission file number:  333-56262

 

 

(Exact name of registrant as specified in its charter)

 

Nevada

  88-0482413
(State or other jurisdiction of   (I.R.S. Employer
incorporation or organization)   Identification No.)

 

8390 Via de Ventura, Suite F-110, #215

Scottsdale, AZ

  85258
(Address of principal executive offices)   (Zip Code)

 

(928) 515-1942

(Registrant’s telephone number, including area code)

 

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 ¨

 

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 þ No ¨

 

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 (Check one):

 

  Large accelerated filer    ¨ Accelerated filer    ¨  
  Non-accelerated filer    ¨ 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 by Rule 12b-2 of the Exchange Act).  Yes ¨ No þ

 

Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date: 275,769,643 shares of common stock, par value $0.001, of the issuer were issued and outstanding as of May 14, 2014. 

 

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EL CAPITAN PRECIOUS METALS, INC.

 

FORM 10-Q/A

 

EXPLANATORY NOTE

 

The registrant has prepared this Amendment (“Amendment”) on Form 10-Q/A to its Quarterly Report on Form 10-Q for the fiscal quarter ended March 31, 2014 (the “Form 10-Q”) for the purpose of re-filing Exhibit 10.1 to the Form 10-Q. No revisions are being made to the Company’s financial statements and, except as described below, this Amendment does not reflect events occurring after the filing of the Form 10-Q, or modify or update those disclosures that may be affected by subsequent events, and no other changes are being made to any other disclosure contained in the Form 10-Q.

 

This Amendment is an exhibit-only filing in response to comments received from the staff of the Securities and Exchange Commission regarding a request for confidential treatment of certain portions of Exhibits 10.1 and 10.2 originally filed with the Form 10-Q. This Amendment is being filed solely to re-file Exhibit 10.1. Except for the changes to Exhibit 10.1, this Amendment does not otherwise update any exhibits as originally filed or previously amended. This Amendment is being filed to replace Exhibit 10.1 to include certain portions of the Exhibit that had previously been omitted or “redacted” pursuant to a request for confidential treatment. This Amendment provides a revised redacted version of Exhibit 10.1.

 

In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed herewith as exhibits to this Amendment.

 

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Item 6.   Exhibits

 

(a)    Exhibits

 

Exhibit

Number

  Description
     
10.1   Agreement dated March 10, 2014 between the Company and Glencore AG. *+
10.2   Master Services Agreement dated February 28, 2014 by and between the Company and Logistica, U.S. Terminals, LLC, including the Iron Ore Processing Agreement attached as Appendix A thereto (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q filed on May 14, 2014). +
31.1   Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. *
31.2   Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. *

__________________

  * Filed herewith.
  + Confidential treatment has been requested as to certain portions of this exhibit pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended.

 

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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.

 

  EL CAPITAN PRECIOUS METALS, INC.  
       
       
Dated:   July 22, 2014 By: /s/  Charles C. Mottley  
   

Charles C. Mottley

Chief Executive Officer, President and Director

(Principal Executive Officer)

 
       

 

Dated:   July 22, 2014 By: /s/  John F. Stapleton  
   

John F. Stapleton

Chief Financial Officer and Director

(Principal Financial Officer)

 
       

 

 

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