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EXCEL - IDEA: XBRL DOCUMENT - ETHEMA HEALTH CorpFinancial_Report.xls

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Amendment No. 1

FORM 10-K/A

 

þ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended: December 31, 2014

 

or

 

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

 

For the transition period from __________ to __________

 

Commission file number: 000-15078

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GreeneStone Healthcare Corporation

(Exact name of registrant as specified in its charter)

 

Colorado 84-1227328

(State or other jurisdiction of

incorporation or organization)

(I.R.S. Employer

Identification No.)

 

5734 Yonge Street, Suite 300

North York, Ontario, Canada M2M 4E7

(Address of principal executive offices)

 

(416) 222-5501

(Registrant’s telephone number, including area code)

 

Securities registered under Section 12(b) of the Exchange Act:

 

Title of each class

 

Name of each exchange on which registered
None N/A

 

Securities registered under Section 12(g) of the Act:

 

Common Stock, $0.01 par value per share

(Title of class)

 

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]

 

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 [ ] 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[X] 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 [X] No [ ]

 

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. [ ]

 

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 [   ]   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 [ ] No [X]

 

The aggregate market value of the voting and non-voting common equity held by non-affiliates of the registrant on June 30, 2014, based on a closing price of $0.09 was approximately $2,754,865. As of April 10, 2015, the registrant had 46,134,787 shares of its common stock, par value $0.01 per share, outstanding.

  

Prepared By:

 

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Sunny J. Barkats, Esq.

JSBarkats, PLLC

18 East 41st Street, 14th Floor

New York, NY 10017

P: (646) 502-7001

F: (646) 607-5544

www.JSBarkats.com

 
 

EXPLANATORY NOTE

 

This Amendment No. 1 to the Annual Report on Form 10-K is being filed solely to file the Interactive Data files as Exhibit 101, in accordance with Rule 405 of Regulation S-T. No other changes have been made to the Form 10-K, as originally filed on April 15, 2014.

  

PART IV

 

Item 15. Exhibits, Financial Statement Schedules.

(a) Financial Statements and Schedules

 

(b) Exhibits

 

Exhibit No.   Description   Form   SEC File No.   Exhibit   Filing Date   Filed Herewith   Furnished Herewith
  3.1     Articles of Incorporation of NNRC, Inc. (as filed with the Secretary of State of Colorado on April 1, 1993)     10-K     000-15078     3.1     March 28, 2013        
                                         
  3.2     Articles of Amendment to the Articles of Incorporation of Nova Natural Resources, Inc. (as filed with the Secretary of State of Colorado on May 8, 2012)     10-K     000-15078     3.2     March 28, 2013        
                                         
  3.3     Articles of Amendment to the Articles of Incorporation of Greenestone Healthcare Corporation (as filed with the Secretary of State of Colorado on March 26, 2013)     8-K     000-15078     3.3     March 29, 2013        
                                         
  3.4     Amended and Restated Bylaws of Greenestone Healthcare Corporation     8-K     000-15078     3.4     March 29, 2013        
                                         
  10.1     Stock Purchase Agreement I     8-K     000-15078     10.01     December 30, 2013        
                                         
  10.2     Form of Warrant I     8-K     000-15078     10.01     December 30, 2013        
                                         
  10.3     Form of Warrant II     8-K     000-15078     10.01     December 30, 2013        
                                         
  10.4     Stock Purchase Agreement II     8-K     000-15078     10.01     December 30, 2013        
                                         
  10.5     Share Purchase Agreement, dated as of December 16, 2014, by and between the Registrant and Jaintheel Parekh Medicine Professional Corporation     8-K     000-15078     10.1     December 23, 2014        
 
 

 

  10.6     Collateral Note, dated December 16, 2014     8-K     000-15078     10.2     December 23, 2014        
                                         
  16.1     Letter from Jarvis Ryan Associates, LLP     8-K     000-15078     16.1     July 9, 2014        
                                         
  31.1     Certification by the Principal Executive Officer of registrant pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Rule 13a-14(a) or Rule 15d-14(a))     10-K      000-15078     31.1      April 15, 2015        
                                         
  31.2     Certification by the Principal Financial Officer of registrant pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Rule 13a-14(a) or Rule 15d-14(a))     10-K      000-15078     31.2      April 15, 2015   X    
                                         
  32.1     Certification by the Principal Executive Officer pursuant to 18 U.S.C. 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002     10-K      000-15078     32.1      April 15, 2015   X    
                                         
  32.2     Certification by the Principal Financial Officer pursuant to 18 U.S.C. 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002     10-K      000-15078     32.2      April 15, 2015        
                                         
  101. INS   INS XBRL Instance Document                           X    
                                         
  101. SCH   SCH XBRL Schema Document                           X    
                                         
  101. CAL   CAL XBRL Calculation Linkbase Document                           X    
                                         
  101. DEF   DEF XBRL Definition Linkbase Document                           X    
                                         
  101. LAB   LAB XBRL Label Linkbase Document                           X    
                                         
  101. PRE   PRE XBRL Presentation Linkbase Document                           X    
 
 

 SIGNATURE

 

Pursuant to the requirements of Section 13 or 15(d) of the Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

  

      GREENESTONE HEALTHCARE CORP.
           
           
Date: April 16, 2015   By:  /s/ Shawn E. Leon  
        Name: Shawn E. Leon  
       

Title: Chief Executive Officer

(Principal Executive Officer)

 

 

 

Date: April 16, 2015   By:  /s/ William L. Sklar  
        Name: William L. Sklar  
       

Title: Chief Financial Officer

(Principal Financial Officer and 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.

 

Name   Position   Date

 

 

       
/s/ Shawn E. Leon   Chief Executive Officer (Principal Executive Officer)   April 16, 2015
Shawn Leon   President, Director    
   

 

 

   
/s/ Dr. Luke Fazio   Director   April 16, 2015
Dr. Luke Fazio        
         
         
/s/ Michael Howlett   Director   April 16, 2015
Michael Howlett        

 

/s/ William L. Sklar   Chief Financial Officer   April 16, 2015
William L. Sklar   (Principal Financial and Accounting Officer)