Ainos, Inc 10-Q/A, filed Nov 18, 2021
Ainos, Inc. (AIMD)
About this 10-Q/A
Ainos, Inc filed this 10-Q/A on November 18, 2021, covering the quarter ended September 30, 2021.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
(Amendment No. 1)
(Mark One)
| QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended
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 No.
(Exact name of registrant as specified in its charter) |
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(State or other jurisdiction of incorporation or organization) |
| (IRS Employer Identification No.) |
(
(Address and telephone number, including area code, of registrant’s principal executive offices)
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. ☒
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted 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 such files). ☒
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. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer | ☐ | Accelerated filer | ☐ |
☒ | Smaller reporting company | ||
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| Emerging growth company |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act)
Explanatory Note
This Amendment No. 1 on Form 10-Q/A (the “Amendment”) of Ainos, Inc. (the “Company”) amends the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2021, originally filed with the Securities and Exchange Commission on November 15, 2021 (the “Original Report”).
This Amendment is being filed solely to correct two (2) typographical errors as follows:
Under Item 1. Financial Statements, Footnote 4 of the Notes to Financial Statements (Unaudited), should read: “Total stockholder’s equity increased to $17,136,360 as of September 30, 2021 compared to total shareholder’s equity of $838,278 as of December 2020.”
Under Item 1. Financial Statements, Condensed Statements of Cash Flow (Unaudited), reference to “Net increase in cash and cash equivalents” should read “Net change in cash and cash equivalents.”
This Amendment No. 1 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 Report. No other changes have been made to the Original Report.
This Amendment has been signed as of a current date, and includes new certifications by the registrant’s principal executive officer and principal financial officer, which are being filed as exhibits to this Amendment.
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ITEM 6. Exhibits.
EXHIBIT INDEX
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| INCORPORATED BY REFERENCE | |||||||
EXHIBIT NUMBER |
| DESCRIPTION |
| FILED WITH THIS FORM 10-Q |
| FILING DATE WITH SEC |
| FORM |
| EXH # |
| HYPERLINK TO FILINGS |
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| Restated Certificate of Formation of the Company, dated April 15, 2021 and filed April 21, 2021 |
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| 4/21/2021 |
| 8-K |
| 3.1 |
| https://www.sec.gov/Archives/edgar/data/0001014763/000165495421004461/amar_ex31.htm | |
3.2 |
| Bylaws of the Company, as amended August 20, 2021 |
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| 11/15/21 |
| 10-Q |
| 3.2 |
| https://www.sec.gov/Archives/edgar/data/0001014763/000165495421012154/aimd_ex32.htm |
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| X |
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| Certification of CEO and CFO pursuant to 18 U.S.C. Section 1350 |
| X |
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101.INS |
| XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the XBRL document. |
| X |
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101.SCH |
| XBRL Taxonomy Extension Schema Document |
| X |
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101.CAL |
| XBRL Taxonomy Extension Calculation Linkbase |
| X |
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101.DEF |
| XBRL Taxonomy Extension Definition Linkbase |
| X |
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101.LAB |
| XBRL Taxonomy Extension Label Linkbase |
| X |
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101.PRE |
| XBRL Taxonomy Extension Presentation Linkbase |
| X |
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104.1 |
| Cover Page Interactive Data File |
| X |
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The exhibits listed in the Exhibit Index are filed or incorporated by reference as part of this filing.
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SIGNATURES
Pursuant to the requirements of Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| AINOS, INC. |
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Date: November 17, 2021 | By: | /s/ Chun-Hsien Tsai |
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| Chun-Hsien Tsai, Chairman of the Board, and Chief Executive Officer |
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Date: November 17, 2021 | By: | /s/ Hui-Lan Wu |
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| Hui-Lan Wu, Chief Financial Officer |
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EXHIBIT 31.1
FORM OF CERTIFICATION
PURSUANT TO RULE 13a-14(a) AND 15d-14(a)
AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
CERTIFICATION
I, Chun-Hsien Tsai and Hui-Lan Wu, certify that:
| 1. | I have reviewed this Amendment No. 1 to this Company’s report on Form 10-Q of Ainos, Inc. for the period ending September 30, 2021; |
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| 2. | Based on my knowledge, this report does not contain any untrue statement of material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the periods covered by this report; |
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| 3. | Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report; |
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| 4. | The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have: |
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| (a) | Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; |
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| (b) | Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; |
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| (c) | Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and |
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| (d) | Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and |
| 5. | The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions): |
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| (a) | All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and |
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| (b) | Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting. |
| Date: November 17, 2021 |
| /s/ Chun-Hsien Tsai |
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| Chun-Hsien Tsai, Chairman of the Board, and Chief Executive Officer |
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| Date: November 17, 2021 |
| /s/ Hui-Lan Wu |
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| Hui-Lan Wu, Chief Financial Officer |
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EXHIBIT 32.1
CERTIFICATION PURSUANT TO
18 U.S.C. SECTION 1350
AS ADOPTED PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
In connection with this Amendment No. 1 to the Quarterly Report of Ainos, Inc. on Form 10-Q for the period ended September 30, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), each of the undersigned, in the capacities and on the dates indicated below, hereby certifies pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of his knowledge:
| 1. | The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and |
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| 2. | The information contained in the Report fairly presents, in all material respects, the financial condition and results of operation of the Company. |
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| AINOS, INC. |
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| Date: November 17, 2021 | By: | /s/ Chun-Hsien Tsai |
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| Chun-Hsien Tsai, Chairman of the Board, and Chief Executive Officer |
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| Date: November 17, 2021 | By: | /s/ Hui-Lan Wu |
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| Hui-Lan Wu, Chief Financial Officer |
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