UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the Quarterly Period Ended June 30, 2011
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from to
Commission File Number: 000-25839
DOCUMENT CAPTURE TECHNOLOGIES, INC.
(Exact name of registrant as specified in its charter)
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Delaware
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80-0133251
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(State or other jurisdiction of
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(I.R.S.Employer
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incorporation or organization)
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Identification Number)
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4255 Burton Drive
San Jose, California 95054
(Address of principal executive offices, Zip code)
408-436-9888
(Registrant’s telephone number, including area code)
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the preceding 12 months (or for such 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 ý No o
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 ý No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer o Accelerated filer o Non-accelerated filer o Smaller Reporting Company ý
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes o No ý
The number of shares of Common Stock outstanding as of August 30, 2011 was 20,578,126.
EXPLANATORY NOTE
The purpose of this Amendment No. 1 to our Quarterly Report on Form 10-Q for the period ended June 30, 2011, as filed with the Securities and Exchange Commission on August 15, 2011, is to furnish Exhibit 101 to the Form 10-Q within the 30 day grace period provided for the initial submissions of interactive data files, as required by Rule 405 of Regulation S-T. Exhibit 101 to this report provides the financial statements and related notes from our Form 10-Q formatted in XBRL (eXtensible Business Reporting Language).
Users of this data are advised that pursuant to Rule 406T of Regulation S-T these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of sections 11 or 12 of the Securities Act of 1933, are deemed not filed for purposes of section 18 of the Securities and Exchange Act of 1934, and otherwise are not subject to liability under those sections.
No other changes have been made to the Form 10-Q other than the furnishing of the exhibit described above. This Amendment No. 1 does not reflect subsequent events occurring after the original filing date of the Form 10-Q or modify or update in any way disclosures made in the Form 10-Q.
Item 6 - Exhibits
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Exhibit Number
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Description of Exhibit
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Method of Filing
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31.1
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Certification Pursuant to Section 302 of the Sarbanes-Oxley Act – David P. Clark
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Incorporated by reference to Exhibit 31.1 to Form 10-Q as filed August 15, 2011
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31.2
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Certification Pursuant to Section 302 of the Sarbanes-Oxley Act – M. Carolyn Ellis
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Incorporated by reference to Exhibit 31.2 to Form 10-Q as filed August 15, 2011
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32.1
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Certifications Pursuant to Section 906 of the Sarbanes-Oxley Act – David P. Clark
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Incorporated by reference to Exhibit 32.1 to Form 10-Q as filed August 15, 2011
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32.2
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Certifications Pursuant to Section 906 of the Sarbanes-Oxley Act – M. Carolyn Ellis
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Incorporated by reference to Exhibit 32.2 to Form 10-Q as filed August 15, 2011
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101
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XBRL Instance Document
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Filed herewith
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, Document Capture Technologies, Inc. has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
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Document Capture Technologies, Inc.
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Date: August 30, 2011
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/s/ David P. Clark |
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David P. Clark
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Chief Executive Officer
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Date: August 30, 2011
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/s/ M. Carolyn Ellis
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M. Carolyn Ellis
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Chief Financial Officer
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