Attached files

file filename
EX-32.2 - EXHIBIT 32.2 - Touchpoint Group Holdings Inc.s105849_ex32-2.htm
EX-32.1 - EXHIBIT 32.1 - Touchpoint Group Holdings Inc.s105849_ex32-1.htm
EX-31.2 - EXHIBIT 31.2 - Touchpoint Group Holdings Inc.s105849_ex31-2.htm
EX-31.1 - EXHIBIT 31.1 - Touchpoint Group Holdings Inc.s105849_ex31-1.htm
EX-23.1 - EXHIBIT 23.1 - Touchpoint Group Holdings Inc.s105849_ex23-1.htm

 

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-K/A

Amendment No. 1

 

(Mark One)

þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016.

 

OR

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

 

Commission File Number 000-10822

 

One Horizon Group, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   46-3561419
(State or other jurisdiction of   (I.R.S. Employer
incorporation or organization)   Identification No.)
     
T1-017 Tierney Building, University of
Limerick, Limerick, Ireland.
   
    N/A
(Address of principal executive offices)   (Zip Code)

 

+353-61-518477

(Registrant’s telephone number, including area code)

 

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, Par Value $0.0001

(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 þ

 

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act.  Yes ¨  No þ

 

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 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 registrant was required to submit and post such files).  Yes þ  No ¨

 

Indicate by check mark if disclosure of delinquent filers in response 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 the definitions 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 þ
(Do not check if smaller reporting company)  

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes ¨  No þ

  

The aggregate market value of the 35,347,283 shares of voting and non-voting common equity stock held by non-affiliates of the registrant was approximately $ 26.86 million as of June 30, 2016, the last business day of the registrant’s most recently completed second fiscal quarter, based on the last sale price of the registrant’s common stock on such date of $0.76 per share, as reported on Nasdaq. 

 

As of April 3, 2017, 37,316,714 shares of the registrant’s common stock, par value $0.0001, were outstanding.

 

 

 

 

 

 

Explanatory Note

 

This Amendment No. 1 amends the Annual Report on Form 10-K of One Horizon Group, Inc.(the “Company”) for the twelve-month period ended December 31, 2016 (the “Original Form 10-K”), as filed with the Securities and Exchange Commission (the “SEC”) on April 10, 2017, for the sole purpose of including an Exhibit 23.1 auditor’s consent with respect to the Company’s audited financial statements for the period ended December 31, 2016 and 2015.

 

Unless otherwise stated, all information contained in this amendment is as of April 10,2017, the filing date of the Original Form 10-K. Except as stated herein, this Amendment No. 1 does not reflect events or transactions occurring after such filing date or modify or update those disclosures in the Original Form 10-K that may have been affected by events or transactions occurring subsequent to such filing date. No information in the Original Form 10-K other than as set forth above is amended hereby. Currently-dated certifications from our Chief Executive Officer and our Chief Financial Officer have been included as exhibits to this amendment.

 

 

 

 

PART IV

 

ITEM 15.  EXHIBITS, FINANCIAL STATEMENT SCHEDULES

 

Exhibit
Number
  Title of Document   Location
         
Item 2   Plan of acquisition, reorganization, arrangement, liquidation or succession    
         
2.1   Agreement and Plan of Merger effective as of August 26, 2013  

Incorporated by reference from Definitive Information Statement on Form 14C Appendix C

filed May 26, 2013

         
Item 3   Articles of Incorporation and Bylaws    
         
3.1   Amendment to Articles of Incorporation as filed December 27, 2012, with the Pennsylvania Department of State Corporate Bureau   Incorporated by reference from the Current Report on Form 10-K filed May 13, 2013
         
3. 2   Amendment to Articles of Incorporation as filed, with the Pennsylvania Department of State Corporate Bureau  

Incorporated by reference from Definitive Information Statement on Form 14C Appendix B

filed May 26, 2013

         
3. 3   Amended and restated articles of incorporation of BICO, Inc as filed,  with the Pennsylvania Department of State Corporate Bureau  

Incorporated by reference from Definitive Information Statement on Form 14C Appendix F

filed May 26, 2013

         
3. 4   Bylaws of BICO, Inc. as filed, with the Pennsylvania Department of State Corporate Bureau   Incorporated by reference from Definitive Information Statement on Form 14C Appendix G filed May 26, 2013
         
3.5   Certificate of incorporation of  One Horizon Group, Inc., as filed, with Delaware Secretary of State   Incorporated by reference from Definitive Information Statement on Form 14C Appendix D filed May 26, 2013
         
3.6   Bylaws of One Horizon Group, Inc., as filed, with Delaware Secretary of State   Incorporated by reference from Definitive Information Statement on Form 14C Appendix E filed May 26, 2013

 

  

 

 

Exhibit
Number
  Title of Document   Location
Item 10   Material Contracts    
         
10.1   Loan Agreement dated January 22, 2013 between the Company and Mark White   Incorporated by reference to the Quarterly Report on Form 10-Q/A filed on May 30, 2013
         
10.2   Loan Agreement dated January 22, 2013 between the Company and Brian Collins   Incorporated by reference to the Quarterly Report on Form 10-Q/A filed on May 30, 2013
         
10.3   Subscription Agreement, as amended, dated as of February 18, 2013, between the Company and Patrick Schildknecht   Incorporated by reference to the Quarterly Report on Form 10-Q/A filed on May 30, 2013
         
10.4   Warrant Agreement, dated as of February 18, 2013, between the Company and Patrick Schildknecht   Incorporated by reference from the Current Report  on Form 10-8K filed September 5, 2013
         
10.5   Advisory Agreement dated as of April 15, 2013 between the Company and TriPoint Global Equities, LLC   Incorporated by reference to the Quarterly Report on Form 10-Q/A filed on May 30, 2013
         
    Common Stock Purchase Warrant dated May 1, 2013    
         
10.6   Amended and Restated Subscription Agreement, dated as of August 30, 2013, between the Company and Patrick Schildknecht   Incorporated by reference from the Current Report  on Form 10-8K filed September 5, 2013
         
10.7   Amended and Restated Warrant Agreement, dated as of August 30, 2013, between the Company and Patrick Schildknecht   Incorporated by reference from the Current Report on Form 8-K filed September 5, 2013 
         
10.8   Form of Independent Director Agreement between the Company and Richard Vos/Nicholas Carpinello/Robert Law   Incorporated by reference from the Current Report on Form 8-K filed August 22, 2013
         
10.9   From of Indemnification Agreement between the Company and Richard Vos/Nicholas Carpinello/Robert Law   Incorporated by reference from the Current Report on Form 8-K filed August 22, 2013
         
10.10   Agreement, dated November 29, 2013, between One Horizon Group, Inc. and Newport Coast Securities, Inc.   Incorporated by reference from the Current Report on Form 8-K filed December 3, 2013
         
10.11   Director Agreement between the Company and Robert Vogler dated January 8, 2014   Incorporated by reference from the Current Report on Form 8-K filed January 13, 2014
         
10.12   Securities Purchase Agreement dated July 21, 2014   Incorporated by reference from the Current Report on Form 8-K filed on July 25, 2014

 

 49 

 

 

10.13   Form of Class B Warrant   Incorporated by reference from the Current Report on Form 8-K filed on July 25, 2014
         
10.14   Form of Class A Warrant   Incorporated by reference from the Current Report on Form 8-K filed on July 25, 2014
         
10.15   Amendment to Certain Transaction Documents dated August 15, 2014   Incorporated by reference from the Current Report on Form 8-K filed on August 8, 2014
         
10.16   Securities Purchase Agreement dated December 22, 2014   Incorporated by reference from the Current Report on Form 8-K filed on December 29, 2014
         
10.17   Form of Convertible Debenture   Incorporated by reference from the Current Report on Form 8-K filed on December 29, 2014
         
10.18   Registration Rights Agreement dated December 22, 2014   Incorporated by reference from the Current Report on Form 8-K filed on December 29, 2014
         
10.19   Form of Amended and Restated Class C Warrant   Incorporated by reference from the Current Report on Form 8-K filed on January 23, 2015
         
10.20   Form of Amended and Restated Class D Warrant   Incorporated by reference from the Current Report on Form 8-K filed on January 23, 2015
         
10.21   Form of Amended and Restated Performance Warrant   Incorporated by reference from the Current Report on Form 8-K filed on January 23, 2015
         
10.22   Form of Amended and Restated Placement Agent Warrant   Incorporated by reference from the Current Report on Form 8-K filed on January 23, 2015
         
10.23   Indemnification Agreement between the Company and Brian Collins   Incorporated by reference from the Annual Report on Form 10-K filed on April 1, 2015
         
10.24   Indemnification Agreement between the Company and Martin Ward dated   Incorporated by reference from the Annual Report on Form 10-K filed on April 1, 2015

 

 50 

 

 

Exhibit
Number
  Title of Document   Location
Item 14.   Code of Ethics    
         
14.1   Policy Statement on Business Ethics and Conflicts of Interest   Incorporated by reference from the Annual Report on Form 10-KSB for the year ended December 31, 2004, filed May 23, 2005
         
14.2   Insider Trading Policy   Incorporated by reference from the Registration Statement on Form S-1 filed February 5, 2015
         
23.1   Consent of Cherry Bekaert LLP   Filed as part of this report
         
Item 31.   Rule 13a-14(a)/15d-14(a) Certifications    
         
31.1   Certification of Principal Executive Officer Pursuant to Rule 13a-14   Filed as part of this report
         
31.2   Certification of Principal Financial Officer Pursuant to Rule 13a-14   Filed as part of this report
         
Item 32.   Section 1350 Certifications    
         
32.1   Certification of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002   Filed as part of this report
         
32.2   Certification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002   Filed as part of this report

 

 51 

 

  

SIGNATURES

 

Pursuant to the requirements of Section 13 or 15(d) 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.

 

  ONE HORIZON GROUP, INC.  
       
Date: April 11 , 2017 By: /s/ Brian Collins  
    Brian Collins  
    President and Principal Executive Officer  

 

Pursuant to the requirements of Section 13 or 15(d) 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.

 

Dated:  April 11, 2017

 

  By: /s/ Brian Collins  
    Brian Collins  
    President, Chief Executive Officer, and Director  

 

  By: /s/ Martin Ward  
    Martin Ward  
    Chief Financial Officer, Principal Finance and Accounting Officer and Director  

 

  By: /s/ Robert Vogler  
    Robert Vogler  
    Director  

 

  By: /s/ Nicholas Carpinello  
    Nicholas Carpinello  
    Director  

 

  By: /s/ Robert Law  
    Robert Law  
    Director  

 

  By: /s/ Richard Vos  
    Richard Vos  
    Director