Attached files
| file | filename |
|---|---|
| EXCEL - IDEA: XBRL DOCUMENT - AF OCEAN INVESTMENT MANAGEMENT Co | Financial_Report.xls |
| EX-31 - EX-31 - AF OCEAN INVESTMENT MANAGEMENT Co | ex-31.htm |
| EX-32 - EX-32 - AF OCEAN INVESTMENT MANAGEMENT Co | ex-32.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
(Mark One)
[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended: September 30, 2014
[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended: September 30, 2014
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ____________ to _____________
For the transition period from ____________ to _____________
Commission File No. 000-54354
|
AF OCEAN INVESTMENT MANAGEMENT COMPANY
|
||||
|
(Exact name of small business issuer as specified in its charter)
|
||||
|
|
FLORIDA
|
|
14-1877754
|
|
|
|
(State or other jurisdiction of incorporation or organization)
|
|
(I.R.S. Tax. I.D. No.)
|
|
|
|
15500 Roosevelt Blvd., Ste. 305,
Clearwater, FL
|
|
33760
|
|
|
|
(Address of Principal Executive Offices)
|
|
(Zip Code)
|
|
|
|
||||
|
|
||||
|
(212) 729-4951
|
||||
(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 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 (§229.405 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 o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, or 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
(Do not check if a smaller reporting company)
|
Smaller reporting company. þ
|
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
The number of shares outstanding of each of the issuer's classes of common equity as of November 19, 2014 is as follows:
|
Class of Securities
|
Shares Outstanding
|
|
Common Stock, $0.01 par value
|
188,099,292
|
EXPLANATORY NOTE
AF Ocean Investment Management Company is filing this Amendment (this "Amendment") to its Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2014 filed with the Securities and Exchange Commission on November 19, 2014 (the "Original Filing") for the sole purpose of updating the interactive data files attached as Exhibit 101 to the Original Filing.
Updated Certifications under Sections 302 and 906 of the Sarbanes-Oxley Act 2002 are also included in this Amendment.
Except for the updated Exhibit 101, no other changes have been made to the Original Filing, and this Amendment does not amend, update or change any other items or disclosures in the Original Filing.
|
Exhibit No.
|
Description
|
|
31
|
Certification of Principal Executive Officer and Principal Financial Officer filed pursuant to Exchange Act Rules 13a-14(a) and 15d - 14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
Filed herewith
|
|
32
|
Certification of Chief Executive Officer and Chief Financial Officer furnished pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
Furnished herewith
|
|
101
|
Financial statements from the quarterly report on Form 10-Q of AF Ocean Investment Management Company for the quarter ended September 30, 2014, formatted in XBRL: (i) the Balance Sheet, (ii) the Statement of Income, (iii) the Statement of Cash Flows and (iv) the Notes to the Financial Statements.
Filed herewith
|
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.
|
|
|
|
|
AF OCEAN INVESTMENT MANAGEMENT COMPANY
|
|
|
|
|
|
|
|
Dated: November 20, 2014
|
/s/ Andy Z. Fan
|
|
|
Andy Z. Fan
|
|
|
Principal Executive Officer
|
|
|
|