UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
10-K/A
Amendment No.
1
(Mark
One)
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Annual
Report Pursuant to Section 13 or 15(d) of the Securities Exchange
Act of 1934
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For the
Fiscal Year Ended November 30,
2016
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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: 333-190690
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EXEO ENTERTAINMENT, INC.
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(Name
of small business issuer in its charter)
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Nevada
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45-2224704
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(State
or other jurisdiction of incorporation or
organization)
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(I.R.S.
employer identification number)
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4478 Wagon Trail Ave.
Las Vegas, NV
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89118
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(Address
of principal executive offices)
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(Zip
code)
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Issuer’s
telephone number: (702)
361-3188
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Securities
Registered Pursuant to Section 12(b) of the Act:
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Title
of each class
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Name of
each exchange on which registered
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Common Stock, $0.0001 par value per share
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None; These securities are quoted on the OTC Bulletin Board (OTCBB)
and OTC Markets (OTCQB)
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Securities
Registered Pursuant to Section 12(g) of the Act:
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None
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(Title
of class)
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Indicate
by check mark if the registrant is a well-known seasoned issuer, as
defined in Rule 405 of the Securities Act.
Yes
☐ No ☒
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
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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 ☒ No ☐
Indicate
by check mark if disclosure of delinquent filers pursuant to Item
405 of Regulation S-K (§229.405) 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. ☐
1
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.:
Large
accelerated filer
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Accelerated
filer
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Non-accelerated
filer (Do not check if a smaller reporting company)
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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
☐ No ☒
The
aggregate market value of the voting and non-voting stock held by
non-affiliates of the registrant as of November 30, 2016, the last
business day of the registrant's most recently completed fiscal
year end, is undeterminable. The total number of common stock held
by non-affiliates of the registrant as of this date was
7,507,943. The
aggregate market value of such securities on November 30, 2016 was
determined by the Company to be $2,097,400 based upon the analysis
described in further detail in Item 5 of this report.
State
the number of shares outstanding of each of the issuer’s
classes of common equity, as of the last practicable date, which is
March 14, 2017: 25,156,317
Common Shares, 19,500 Series A, and 246,690 Series B Preferred
Shares.
DOCUMENTS INCORPORATED BY REFERENCE
Incorporated
by reference within this report are certain documents previously
filed with the Commission within Form S-1, as amended, which was
filed on August 16, 2013. Such document(s) are listed in
Item 15 of this report.
2
EXPLANATORY
NOTE
The
purpose of this amendment on Form 10-K/A to Exeo Entertainment,
Inc.'s Annual Report on Form 10-K for the period ended November 30,
2016, filed with the Securities and Exchange Commission on March
15, 2017 is solely to furnish Exhibit 101 to the Form 10-K in
accordance with Rule 405 of Regulation S-T.
No
other changes have been made to the Form 10-K. This Amendment No. 1
to the Form 10-K speaks as of the original filing date of the Form
10-K, does not reflect events that may have occurred subsequent to
the original filing date, and does not modify or update in any way
disclosures made in the original Form 10-K.
3
Item 15(B) Exhibits
INDEX
TO EXHIBITS
Exhibit
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Description
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3.1
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Articles of
Incorporation (1)
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3.2
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Amendment to
Articles of Incorporation (1)
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3.3
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Bylaws
(1)
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3.4
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Certificate of
Designation (for Series A Preferred Stock) (1)
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3.5
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Certificate of
Designation for Series B Convertible Preferred Stock
(2)
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10.1
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Employment
Agreement (Jeffrey Weiland, President) (1)
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10.2
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Employment
Agreement (Robert S. Amaral, CEO) (1)
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10.3
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Consulting
Agreement (Hildebrandt Consulting) (1)
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10.4
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Exclusive License
Agreement (Psyko Audio Labs) (1)
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10.5
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Exclusive License
Agreement (Digital Extreme Technologies, Inc.) (1)
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10.6
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Project
Management Agreement (Elite Product Management) (1)
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10.7
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2012
Employees/Consultants Stock Compensation Plan Agreement
(1)
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31.1
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Certification of Chief
Executive Officer pursuant to Securities Exchange Act
Rule 13a-14(a)/15d-14(a), as adopted pursuant to
Section 302 of the Sarbanes-Oxley Act of 2002
(4)
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31.2
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Certification of Chief
Financial Officer pursuant to Securities Exchange Act
Rule 13a-14(a)/15d-14(a), as adopted pursuant to
Section 302 of the Sarbanes-Oxley Act of 2002
(4)
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32.1
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Certification of Chief
Executive Officer and Chief Financial Officer pursuant to 18 U.S.C.
Section 1350, as adopted pursuant to Section 906 of the
Sarbanes-Oxley Act of 2002 (4)
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99.1
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Press release issued on
September 12, 2014 (3)
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101.INS
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XBRL Instance
Document
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101.SCH
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XBRL Taxonomy
Extension Schema
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101.CAL
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XBRL Taxonomy
Extension Calculation Linkbase
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101.DEF
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XBRL Taxonomy
Extension Definition Linkbase
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101.LAB
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XBRL Taxonomy
Extension Label Linkbase
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101.PRE
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XBRL Extension
Presentation Linkbase
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(1)
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Not
filed herewith, but this exhibit is incorporated by reference.
Previously filed as an exhibit to Exeo Entertainment, Inc.’s
Form S-1 filed with the Commission on August 16, 2013, as
amended.
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(2)
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Not
filed herewith, but this exhibit is incorporated by reference.
Previously filed as an exhibit to Exeo
Entertainment, Inc.’s Form 10-K filed with the
Commission on March 13, 2014.
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(3)
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Not
filed herewith, but this exhibit is incorporated by reference.
Previously filed as an exhibit 99.1 to Exeo Entertainment,
Inc.’s Form 10-Q filed with the Commission on October 6,
2014.
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(4)
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Not filed herewith,
but this exhibit is incorporated by reference. Previously filed as
an exhibit to Exeo Entertainment, Inc.’s Form 10-K filed with
the Commission on March 15, 2017.
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Item 15(c) Reports on Form 8-K
None.
Press Releases
None.
4
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, thereto duly authorized.
EXEO
ENTERTAINMENT, INC.
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(Registrant)
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Signature
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Title
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Date
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/s/ Jeffrey A. Weiland
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President and
Director
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March
29, 2017
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Jeffrey
A. Weiland
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/s/ Robert S. Amaral
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Chief
Executive Officer,
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March
29, 2017
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Robert
S. Amaral
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Treasurer and
Director
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(Principal
Executive and Financial Officer
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5