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EX-32.2 - PetVivo Holdings, Inc.ex32-2.htm
EX-31.2 - PetVivo Holdings, Inc.ex31-2.htm

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-KA

AMENDMENT NO. 2

 

[X]ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 

 

For the fiscal year ended March 31, 2017

 

[  ] 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: 000-55167

 

PetVivo Holdings, Inc.

(Exact name of registrant as specified in its charter)

 

Nevada   99-0363559

(State or other jurisdiction of
incorporation or organization)

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

 

5251 Edina Industrial Blvd.

Edina, Minnesota

  55439
(Address of principal executive offices)   (Zip Code)

  

(952) 405-6216

(Registrant's Telephone Number, Including Area Code)

 

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

 

Title of each class registered:   Name of each exchange on which registered:
None   None

 

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

 

Title of each class registered:  
Common Stock, par value $0.001  

 

Indicate by check mark if registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. [  ] Yes [X] No

 

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

 

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 [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 (§ 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). [X] Yes [  ] No

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K 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. [X]

 

Indicate by check mark whether the registrant is a large accelerated file, 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 [X]
  (Do not check if a 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 [X] No

 

State the aggregate market value of the voting and non-voting common equity held by non-affiliates computed by reference to the price at which the common equity was sold, or the average bid and asked price of such common equity, as of the last business day of the registrant's most recently completed second fiscal quarter. As of March 31, 2017, it was approximately $30,577,083.

 

As of December 4, 2017, there were 16,689,334 shares of the issuer's $.001 par value common stock issued and outstanding.

 

Documents incorporated by reference. There are no annual reports to security holders, proxy information statements, or any prospectus filed pursuant to Rule 424 of the Securities Act of 1933 incorporated herein by reference.

 

 

 

 
 

 

EXPLANATORY NOTE

 

This Amendment No. 2 to the Registrant’s Annual Report on Form 10-K for its fiscal year ended March 31, 2017 is being filed solely to include the two revised exhibits which had mistakenly included the former CFO’s name rather than John Lai in the first paragraphs thereof.

 

EXHIBITSFINANCIAL STATEMENT SCHEDULES

 

(b) Exhibits required by Item 601.

 

Exhibit 31.2 Certification of Principal Financial Officer Required by Rule 13a-14(A) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes Oxley Act of 2002.*

 

Exhibit 32.2 Certification of Principal Financial Officer, pursuant to 18 U.S.C. Section 1350, aa adopted pursuant to Section 906 of the Sarbanes Oxley Act of 2002.*

 

* 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.

 

 

PetVivo Holdings, Inc., 

a Nevada corporation

     
August 23, 2018 By: /s/ Wesley C. Hayne
    Wesley C. Hayne
  Its:

Chief Executive Officer and Director

(Principal Executive Officer)

     
August 23, 2018 By: /s/ John Lai
    John Lai
  Its: Chief Financial Officer (Principal Financial and 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. The following persons represent a majority of the Board of Directors of the Registrant as of March 31, 2017.

 

Name and Positions    
     
/s/ Wesley C. Hayne   August 23, 2018
Wesley C. Hayne    
Chief Executive Officer, Director    
(Principal Executive Officer)    

 

/s/ John Lai   August 23, 2018
John Lai    
President, Chief Financial Officer, Director    
(Principal Financial and Accounting Officer)    
     
/s/ John Dolan   August 23, 2018
John Dolan    
Director    
     
/s/ Randall Meyer   August 23, 2018
Randall Meyer    
Director