form10qa.htm
 

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC  20549

FORM 10-Q /A
(AMENDMENT NO. 1)

(Mark One)

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

 
For the quarterly period ended
September 30, 2010
  

o
Transition report under section 13 or 15(d) of the Exchange Act

 
For the transition period from
  
to
    

 
Commission File Number
000-31380
  


Applied Minerals, Inc.
(Exact name of registrant as specified in its charter)
       
Delaware
  
82-0096527
(State or other jurisdiction of incorporation or organization)
  
(I.R.S. Employer Identification No.)
     
     
110 Greene Street – Suite 1101, New York, NY
  
10012
(Address of principal executive offices)
  
(Zip Code)
     
 
(800) 354-6463
  
 
(Issuer’s Telephone Number, Including Area Code)
  

Former name, former address, and former fiscal year, if changed since last report:N/A

Indicate by check 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 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
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

The number of shares of the registrant’s common stock, no par value per share, outstanding as of September 30, 2010 was 69,249,072.

DOCUMENTS INCORPORATED BY REFERENCE:  None.

 
 
 

PREFATORY NOTE

Applied Minerals, Inc. (“the Company”) is filing this form 10-Q/A (Amendment No. 1) to include correct certifications required by Rule 13a-14(a)
 
 
ITEM 14                                EXHIBITS

Exhibit
    
Number
  
Description of Exhibit
     
31.3
  
Amended certification pursuant to Rule 13a-14 of the Securities Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, of the Principal Executive Officer
31.4
  
Amended certification pursuant to Rule 13a-14 of the Securities Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, of the Principal Financial Officer


 
 
 

SIGNATURES

In accordance with Section 13 or 15(d) of the Exchange Act, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized on this 14th day of December 2010.

   
Applied Minerals, Inc
  
       
 
By:
    
   
/s/ Andre Zeitoun
  
   
Chief Executive Officer
  
       
 
By:
    
   
/s/ Christopher T. Carney
  
   
Interim Chief Financial Officer
  
 
In accordance with the Exchange Act, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

Signature
Title
Date
     
 
Director
December 14, 2010
/s/ John F. Levy
    
     
 
Director
December 14, 2010
/s/ David Taft
    
     
 
Director
December 14, 2010
/s/ Andre Zeitoun
    
     
 
Director
December 14, 2010
/s/ Evan Stone