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EX-32 - CERTIFICATION - IRONCLAD ENCRYPTION Corpice_ex32z2.htm
EX-32 - CERTIFICATION - IRONCLAD ENCRYPTION Corpice_ex32z1.htm
EX-10 - EQUITY INCENTIVE PLAN - IRONCLAD ENCRYPTION Corpiec_ex10z1.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

FORM 10-Q /A

Amendment No. 1

 

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

For the quarterly period ended June 30, 2017

 

OR

 

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

For the transition period from                              to                         

 

Commission file number:     000-53662

 

IRONCLAD ENCRYPTION CORPORATION

(Exact name of registrant as specified in its charter)

 

Nevada

 

81-0409475

(State or other jurisdiction of incorporation  or organization)

 

(I.R.S. Employer Identification No.)

 

 

 

One Riverway,

777 South Post Oak Lane, Suite 1700, Houston, Texas

 

 

77056

(Address of principal executive offices)

 

(Zip Code)

 

(888) 362-7972

(Issuer's telephone number, including area code)

 

Indicate by check mark whether the registrant (1) has filed all documents and reports required to be filed by Sections 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 filings for the past 90 days.    Yes ■  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 during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  Yes ■  No  □

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company.

 

Large accelerated filer     □

 

Accelerated filer

Non-accelerated filer       □

Do not check if a smaller reporting company)

Smaller reporting company

 

 

Emerging Growth Company  

 

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

 

APPLICABLE ONLY TO CORPORATE ISSUERS:

 

State the number of shares outstanding of each of the issuer's classes of common stock, as of the latest practicable date:  As of the close of business on August 10, 2017, there were 66,008,195 shares of Class A Common Stock and 1,538,872 shares of Class B Common Stock issued and outstanding.



EXPLANATORY NOTE

 

The purpose of this Amendment No. 1 to Ironclad Encryption Corporation’s (“IronClad”) Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2017, filed with the Securities and Exchange Commission (the “Commission”) on August 21, 2017 (the “Form 10-Q”), is to resubmit Exhibit 10.01 that was originally filed with the Form 10-Q to correct minor inadvertent clerical errors. Exhibit 10.01 filed herewith supersedes and replaces the previously filed Exhibit 10.01.  

This Amendment contains only the Cover Page to this Form 10-Q/A, this Explanatory Note, Item 6, the Signature Page and Exhibit 10.01, as corrected. No other changes have been made to the Form 10-Q. This Amendment No. 1 to the Form 10-Q speaks as of the original filing date of the Form 10-Q, 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-Q.



Item 6.  Exhibits

Exhibit
Number

 

Description

   3.1***

 

Amended and Restated Articles of Incorporation of IronClad Encryption Corporation, dated June 29, 2017

   3.2***

 

Bylaws of IronClad Encryption Corporation (Composite as Amended), dated June 29, 2017

   4.1***

 

Form of Common Stock Certificate (Class A) of IronClad Encryption Corporation

 10.01*

 

IronClad Encryption Corporation 2017 Equity Incentive Plan effective as of January 6, 2017

 10.02***

 

Form of Stock option Agreement (Incentive and Non-Qualified Stock Options) under IronClad Encryption Corporation 2017 Equity Incentive Plan

 10.03***

 

Securities Purchase Agreement by and between IronClad Encryption Corporation and PowerUp Lending Group, Ltd. dated June 26, 2017

 10.04***

 

Convertible Promissory Note (principal amount of $78,500) pursuant to Securities Purchase Agreement by and between IronClad Encryption Corporation and PowerUp Lending Group, Ltd. dated June 26, 2017

 10.05+***

 

Employment Agreement by and between IronClad Encryption Corporation and Jeff B. Barrett effective as of January 6, 2017

 10.06+***

 

Employment Agreement by and between IronClad Encryption Corporation and Daniel M. Lerner effective as of January 6, 2017

 10.07+***

 

Employment Agreement by and between IronClad Encryption Corporation and James D. McGraw effective as of January 6, 2017

 10.08+***

 

Employment Agreement by and between IronClad Encryption Corporation and Len E. Walker effective as of January 6, 2017

 10.09+***

 

Employment Agreement by and between IronClad Encryption Corporation and David G. Gullickson effective as of May 1, 2017

 10.10+***

 

Employment Agreement by and between IronClad Encryption Corporation and Monty R. Points effective as of May 1, 2017

 10.11+***

 

Employment Agreement by and between IronClad Encryption Corporation and Randall W. Rice effective as of June 1, 2017

 31.1***

 

Certification of Principal Executive Officer of IronClad Encryption Corporation required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 31.2***

 

Certification of Principal Financial Officer of IronClad Encryption Corporation required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 32.1 **

 

Certification of Principal Executive Officer of IronClad Encryption Corporation pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350)

 32.2 **

 

Certification of Principal Financial Officer of IronClad Encryption Corporation pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350)

101.INS***

 

XBRL Instance Document

101.SCH***

 

XBRL Taxonomy Extension Schema Document

101.CAL***

 

XBRL Taxonomy Extension Calculation Linkbase Document

101.DEF***

 

XBRL Taxonomy Extension Definitions Linkbase Document

101.LAB***

 

XBRL Taxonomy Extension Label Linkbase Document

101.PRE***

 

XBRL Taxonomy Extension Presentation Linkbase Document.

 

*  Filed herewith.

** Furnished herewith.

***   Filed with the Registrant’s Form 10-Q on August 21, 2017

+   Management contract or compensatory plan or arrangement.



SIGNATURES

 

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

 

IronClad Encryption Corporation

(Registrant)

 

 

 

  /s/ James D. McGraw                        

James D. McGraw

President and Principal Executive Officer

Dated:  August 23, 2017

 

 

 

  /s/ David G. Gullickson                     

David G. Gullickson

Vice President of Finance, Treasurer, and

Principal Financial and Accounting Officer

Dated:  August 23, 2017



Index to Exhibits

Exhibit
Number

 

Description

   3.1***

 

Amended and Restated Articles of Incorporation of IronClad Encryption Corporation, dated June 29, 2017

   3.2***

 

Bylaws of IronClad Encryption Corporation (Composite as Amended), dated June 29, 2017

   4.1***

 

Form of Common Stock Certificate (Class A) of IronClad Encryption Corporation

 10.01*

 

IronClad Encryption Corporation 2017 Equity Incentive Plan effective as of January 6, 2017

 10.02***

 

Form of Stock option Agreement (Incentive and Non-Qualified Stock Options) under IronClad Encryption Corporation 2017 Equity Incentive Plan

 10.03***

 

Securities Purchase Agreement by and between IronClad Encryption Corporation and PowerUp Lending Group, Ltd. dated June 26, 2017

 10.04***

 

Convertible Promissory Note (principal amount of $78,500) pursuant to Securities Purchase Agreement by and between IronClad Encryption Corporation and PowerUp Lending Group, Ltd. dated June 26, 2017

 10.05+***

 

Employment Agreement by and between IronClad Encryption Corporation and Jeff B. Barrett effective as of January 6, 2017

 10.06+***

 

Employment Agreement by and between IronClad Encryption Corporation and Daniel M. Lerner effective as of January 6, 2017

 10.07+***

 

Employment Agreement by and between IronClad Encryption Corporation and James D. McGraw effective as of January 6, 2017

 10.08+***

 

Employment Agreement by and between IronClad Encryption Corporation and Len E. Walker effective as of January 6, 2017

 10.09+***

 

Employment Agreement by and between IronClad Encryption Corporation and David G. Gullickson effective as of May 1, 2017

 10.10+***

 

Employment Agreement by and between IronClad Encryption Corporation and Monty R. Points effective as of May 1, 2017

 10.11+***

 

Employment Agreement by and between IronClad Encryption Corporation and Randall W. Rice effective as of June 1, 2017

 31.1***

 

Certification of Principal Executive Officer of IronClad Encryption Corporation required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 31.2***

 

Certification of Principal Financial Officer of IronClad Encryption Corporation required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

 32.1 **

 

Certification of Principal Executive Officer of IronClad Encryption Corporation pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350)

 32.2 **

 

Certification of Principal Financial Officer of IronClad Encryption Corporation pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350)

101.INS***

 

XBRL Instance Document

101.SCH***

 

XBRL Taxonomy Extension Schema Document

101.CAL***

 

XBRL Taxonomy Extension Calculation Linkbase Document

101.DEF***

 

XBRL Taxonomy Extension Definitions Linkbase Document

101.LAB***

 

XBRL Taxonomy Extension Label Linkbase Document

101.PRE***

 

XBRL Taxonomy Extension Presentation Linkbase Document.

 

*  Filed herewith.

** Furnished herewith.

***   Filed with the Registrant’s Form 10-Q on August 21, 2017

+   Management contract or compensatory plan or arrangement.