XNAS:AETI American Electric Technologies Inc Quarterly Report 10-Q/A Filing - 6/30/2012

Effective Date 6/30/2012

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SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

FORM 10-Q/A-1

 

 

 

    x     QUARTERLY REPORT UNDER SECTION 13 OR 15 (D) OF THE SECURITIES EXCHANGE ACT OF 1934

FOR THE QUARTERLY PERIOD ENDED June 30, 2012

 

    ¨     TRANSITION REPORT UNDER SECTION 13 OR 15 (D) OF THE SECURITIES EXCHANGE ACT OF 1934

FOR THE TRANSITION PERIOD FROM          TO         

Commission File No. 000-24575

 

 

AMERICAN ELECTRIC TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Florida   59-3410234

(State or other jurisdiction

of incorporation)

 

(I.R.S. Employer

Identification No.)

6410 Long Drive, Houston, TX 77087

(Address of principal executive offices)

(713) 644-8182

(Registrant’s telephone number)

 

 

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 (S. 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 whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a 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

As of August 6, 2012, the registrant had 7,914,685 shares of its Common Stock outstanding.

 

 

 


AMERICAN ELECTRIC TECHNOLOGIES, INC. AND SUBSIDIARIES

FORM 10-Q / A-1

For the Quarterly Period Ended June 30, 2012

EXPLANATORY NOTE

American Electric Technologies, Inc. (the “Company”) is filing this Amendment No. 1 to the Quarterly Report on Form 10-Q (the “Form 10-Q/A”) to amend its Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, which was filed with the Securities and Exchange Commission (“SEC”) on August 14, 2012 (the “Original Filing” and together with the Form 10-Q /A, the “Form 10-Q”) to furnish additional exhibits representing the required XBRL files.

 

          Page  
Item 6.    Exhibits      3   

Signatures

     4   

 

2


Exhibit Index

 

No.   Exhibit Description
    3.1   Articles of Amendment to Registrant’s Articles of Incorporation filed April 30, 2012. (Incorporated by reference to Exhibit 3.1 to Registrant’s Current Report on Form 8-K April 4, 2012)
    4.1   Warrant to purchase 125,000 shares of Registrant’s common stock dated May 2, 2012 (1).
    4.2   Warrant to purchase 200,000 shares of Registrant’s common stock dated May 2, 2012 (1).
    4.3   Investors Rights Agreement between Registrant and JCH Crenshaw Holdings, LLC dated May 2, 2012 (1).
    4.4   Registration Rights Agreement between Registrant and JCH Crenshaw Holdings, LLC dated May 2, 2012 (1).
  10.1   Securities Purchase Agreement between Registrant and JCH Crenshaw Holdings, LLC dated April 13, 2012. (Incorporated by reference to Registrant’s Current Report on Form 8-K filed April 19, 2012)
  10.2   Consent and Eighth Amendment to Loan Agreement dated April 30, 2012 (1).
  10.3   Ninth Amendment to Loan Agreement dated August 10, 2012 (1).
  31.1   Rule 13a-14(a) / 15d -14(a) Certification of Principal Executive Officer (1).
  31.2   Rule 13a-14(a) / 15d-14(a) Certification of Principal Financial Officer (1).
  32.1   Section 1350 Certifications of Principal Executive Officer and Principal Financial Officer (1).
101.INS   XBRL Instance Document.*
101.SCH   XBRL Taxonomy Extension Schema Document.*
101.CAL   XBRL Taxonomy Extension Calculation Linkbase Document.*
101.LAB   XBRL Taxonomy Extension Labels Linkbase Document.*
101.PRE   XBRL Taxonomy Extension Presentation Linkbase Document.*

 

(1) Previously filed or furnished as an exhibit to the Registrant’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2012.
* Pursuant to Rule 406T of Regulation S-T, the XBRL related information in Exhibit 101 to this Quarterly Report on Form 10-Q shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), or otherwise subject to the liability of that section, and shall not be part of any registration statement or other document filed under the Securities Act of 1933 or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.

 

3


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.

Date: August 24, 2012

 

AMERICAN ELECTRIC TECHNOLOGIES, INC.
By:  

/s/ Charles M. Dauber

  Charles M. Dauber
 

President and Chief Executive Officer

(Principal Executive Officer)

By:  

/s/ Frances Powell Hawes

  Frances Powell Hawes
 

Senior Vice President and Chief Financial Officer

(Principal Financial Officer)

 

4

XNAS:AETI American Electric Technologies Inc Quarterly Report 10-Q/A Filling

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