0001654954-16-004900.txt : 20161215 0001654954-16-004900.hdr.sgml : 20161215 20161215162629 ACCESSION NUMBER: 0001654954-16-004900 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20161215 DATE AS OF CHANGE: 20161215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FLUOROPHARMA MEDICAL, INC. CENTRAL INDEX KEY: 0001402785 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 208325616 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 333-147193 FILM NUMBER: 162053949 BUSINESS ADDRESS: STREET 1: 8 HILLSIDE AVENUE STREET 2: SUITE 207 CITY: MONTCLAIR STATE: NJ ZIP: 07042 BUSINESS PHONE: 973-744-1565 MAIL ADDRESS: STREET 1: 8 HILLSIDE AVENUE STREET 2: SUITE 207 CITY: MONTCLAIR STATE: NJ ZIP: 07042 FORMER COMPANY: FORMER CONFORMED NAME: Commercial E-Waste Management Inc DATE OF NAME CHANGE: 20070612 10-Q/A 1 fpmi10qa_jun302016.htm FORM 10-Q/A SEC Connect

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 10-Q/A
(Mark One)
 
[X]
Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the Quarterly Period Ended June 30, 2016
 
[  ]
Transition Report under Section 13 or 15(d) of the Exchange Act
 
For the transition period from __________ to __________
 
Commission file number:  333-147193
 
FluoroPharma Medical, Inc.
(Exact name of registrant as specified in its charter)
 
Nevada
 
20-8325616
(State or other jurisdiction of incorporation or organization)
 
(I.R.S. Employer Identification No.)
 
8 Hillside Avenue, Suite 108
Montclair, NJ
 
 
07042
(Address of principal executive offices)
 
(Zip Code)
 
(973) 744-1565
(Registrant’s telephone number, including area code)
 
(Former name, former address and former fiscal year, if changed since last report)
 
Indicate by check mark whether the registrant (1) has filed 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 during the preceding 12 months (or 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. 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]
 
As of August 14, 2016, there were 33,756,772 shares of $0.001 par value common stock issued and outstanding.
 

 
FORM 10-Q
 
FluoroPharma Medical, Inc.
 
INDEX
 
 
 
Page
 
2
PART II  - OTHER INFORMATION
 
 
 
 
 
 
2
 
 
 
 
3
 
 
 
 
4
 
 
EXPLANATORY NOTE
This amended quarterly report on Form 10-Q/A is being filed solely for the purpose of notating that confidential treatment was requested as to certain portions of Exhibit 10.1 and 10.2 in connection with a pending application for confidential treatment. Exhibit 10.1 and 10.2 were originally filed with FluoroPharma Medical, Inc.’s quarterly report on Form 10-Q on August 15, 2016 with certain redactions. FluoroPharma Medical, Inc. has made no further change to the previously filed quarterly report.
 
 
PART II - OTHER INFORMATION
 
Item 6.  Exhibits
 
Copies of the following documents are included as exhibits to this report pursuant to Item 601 of Regulation S-K.
 
Exhibit No.
 
Title of Document 
10.1
 
Amendment to License Agreement (number A220395.01) dated as of June 1, 2016 between the Company and the General Hospital Corporation, d/b/a Massachusetts General Hospital**
10.2
 
Amendment to License Agreement (number A220396.01) dates as of June 1, 2016 between the Company and the General Hospital Corporation, d/b/a Massachusetts General Hospital**
31.1
 
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2
 
Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1
 
Certification of the Chief Executive Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002***
32.2
 
Certification of the Chief Financial Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002***
101.INS
 
XBRL Instance Document*
101.SCH
 
XBRL Schema Document*
101.CAL
 
XBRL Calculation Linkbase Document*
101.LAB
 
XBRL Label Linkbase Document*
101.PRE
 
XBRL Presentation Linkbase Document*
101.DEF
 
XBRL Definition Linkbase Document*
 
* 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 or Section 18 of the Securities Exchange Act of 1934 and otherwise are not subject to liability.
 
** Previously filed and Confidential Treatment requested as to certain portions of this Exhibit.
 
*** Previously filed.
 
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.
 
 
FluoroPharma Medical, Inc.
 
 
 
 
Date:  December 15, 2016
/s/ Thomas H. Tulip
 
 
Thomas H. Tulip, Ph.D.
 
 
President and Chief Executive Officer
(Principal Executive Officer)
 
 
 
 
 
 
 
Date: December 15, 2016
/s/ Tamara Rhein
 
 
Tamara Rhein
 
 
Chief Financial Officer
(Principal Financial and Accounting Officer)
 
 
 
 
EXHIBIT INDEX
 
Exhibit No.
 
Title of Document 
10.1
 
 
Amendment to License Agreement (number A220395.01) dated as of June 1, 2016 between the Company and the General Hospital Corporation, d/b/a Massachusetts General Hospital**
10.2
 
 
Amendment to License Agreement (number A220396.01) dates as of June 1, 2016 between the Company and the General Hospital Corporation, d/b/a Massachusetts General Hospital**
31.1
 
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2
 
Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1
 
Certification of the Chief Executive Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002***
32.2
 
Certification of the Chief Financial Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002***
101.INS
 
XBRL Instance Document*
101.SCH
 
XBRL Schema Document*
101.CAL
 
XBRL Calculation Linkbase Document*
101.LAB
 
XBRL Label Linkbase Document*
101.PRE
 
XBRL Presentation Linkbase Document*
101.DEF
 
XBRL Definition Linkbase Document*
 
* 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 or Section 18 of the Securities Exchange Act of 1934 and otherwise are not subject to liability.
** Previously filed and Confidential treatment requested as to certain portions of this Exhibit
*** Previously filed
 
-4-
EX-31.1 2 ex31-1.htm CERTIFICATION PURSUANT TO RULE 13A-14(A)/15D-14(A) CERTIFICATIONS SECTION 302 OF THE SARBANES-OXLY ACT OF 2002 SEC Connect
 
Exhibit 31.1
 
Certification Pursuant to pursuant to Rule 13a-14(a) or Rule 15d-14(a)
of the Securities Exchange Act of 1934, as amended
 
I, Thomas H. Tulip, certify that:
 
1.
I have reviewed this Quarterly Report on Form 10-Q of FluoroPharma Medical, Inc. (the “Registrant”);
 
 
2.
Based on my knowledge, this report does not contain any untrue statement of a 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 period covered by this report;
 
 
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;
 
 
4.
The registrant's other certifying officer(s) 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:
 
 
 
 
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;
 
 
 
 
b)
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under my 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;
 
 
 
 
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
 
 
 
 
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 (the registrant's fourth quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting.
 
 
5.
The registrant's other certifying officer(s) 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):
 
 
 
 
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
 
 
 
 
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.
 
/s/ Thomas H. Tulip
 
Thomas H. Tulip, Ph.D.
 
Chief Executive Officer
(Principal Executive Officer)
 
 
Date: December 15, 2016
 
 
EX-31.2 3 ex31-2.htm CERTIFICATION PURSUANT TO RULE 13A-14(A)/15D-14(A) CERTIFICATIONS SECTION 302 OF THE SARBANES-OXLY ACT OF 2002 SEC Connect
 
Exhibit 31.2
 
Certification Pursuant to pursuant to Rule 13a-14(a) or Rule 15d-14(a)
of the Securities Exchange Act of 1934, as amended
 
I, Tamara Rhein, certify that:
 
1.
I have reviewed this Quarterly Report on Form 10-Q of FluoroPharma Medical, Inc. (the “Registrant”);
 
 
2.
Based on my knowledge, this report does not contain any untrue statement of a 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 period covered by this report;
 
 
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;
 
 
4.
The registrant's other certifying officer(s) 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:
 
 
 
 
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;
 
 
 
 
b)
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under my 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;
 
 
 
 
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
 
 
 
 
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 (the registrant's fourth quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting.
 
 
5.
The registrant's other certifying officer(s) 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):
 
 
 
 
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
 
 
 
 
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.
 
/s/ Tamara Rhein
 
Tamara Rhein
 
Chief Financial Officer
(Principal Financial and Accounting Officer)
 
 
Date: December 15, 2016