UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 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 MARCH 31, 2018
OR
| [ ] | TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
FOR THE TRANSITION FROM __________ TO __________
COMMISSION FILE NUMBER: 333-184550
SQN AIF IV, L.P.
(Exact name of registrant as specified in its charter)
| Delaware | 36-4740732 | |
| (State
or other jurisdiction of incorporation or organization) |
(I.R.S. Employer ID No.) |
| 100 Wall Street, 28th Floor | ||
| New York, NY | 10005 | |
| (Address of principal executive offices) | (Zip code) |
Issuer’s telephone number: (212) 422-2166
(Former name, former address and former fiscal year, if changed since last report.)
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 (§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 [ ] No [X]
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer or a non-accelerated filer. See definition of “accelerated filer” and “large accelerated filer” in Rule 12b-2 of the Exchange Act. (Check one):
| Large accelerated filer [ ] | Accelerated filer [ ] |
| Non-accelerated filer [ ] | Smaller Reporting Company [X] |
| Emerging growth company [ ] |
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes [ ] No [X]
At May 15, 2018, there were 74,527.94 units of the Registrant’s limited partnership interests issued and outstanding.
SQN AIF IV L.P.
| EXPLANATORY NOTE | 3 |
| PART II | |
| Item 6. Exhibits | 4 |
| Signatures | 5 |
| 2 |
SQN AIF IV, L.P. (the “Partnership”) is filing this Amendment No. 1 to its Quarterly Report on Form 10-Q for the fiscal period ended March 31, 2018 (the “Form 10-Q”) only to file Exhibits 31.2 and 32.2 in response to a comment the Partnership received from the Securities and Exchange Commission.
In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed as exhibits to this Amendment under Item 6 of Part II hereof.
This Amendment No. 1 to the Form 10-Q does not reflect events occurring after the filing of the Form 10-Q. No other modifications or changes have been made to the Form 10-Q as originally filed or the Exhibits filed therewith.
PART II - OTHER INFORMATION
Item 6. Exhibits
| 3 |
| 4 |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacity and on the dates indicated.
File No. 333-184550
SQN AIF IV GP, LLC
General Partner of the Registrant
| April 15, 2019 | |
| /s/ jeremiah silkowski | |
| Jeremiah Silkowski | |
| President and Chief Executive Officer | |
| (Principal Executive Officer) |
| 5 |