**
 

 

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

 

 

**FORM 10-K/A**

**(AMENDMENT NO. 1)**

 

 

**(Mark one)**
****☒********
**ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

**For the fiscal year ended March 31, 2019**

**OR**

 
****☐********
**TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

**Commission file number: 001-36827**

 

 

**pdvWireless, Inc.**

**(Exactname of registrant as specified in its charter)**

 

 

 
**Delaware** **33-0745043**
**(State or other jurisdiction of**

**incorporation or organization)**
 
**(I.R.S. Employer**

**Identification No.)**

**3 Garret Mountain Plaza**

**Suite 40**

**Woodland Park,NJ 07424**

**(Address of principal executive offices, zip code)**

**(973) 771-0300**

**(Registrant’s telephone number, including area code)**

Securities registered pursuant to Section 12(b) of the Act: 

 

**Title of each class**
 
**Trading Symbol**
 
**Name of each exchange on which registered)**
**Common Stock, $0.0001 par value** **ATEX** **The Nasdaq Stock Market LLC**
Securities registered pursuant to Section 12(g) of the Act: None 

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the SecuritiesAct.    Yes  ☐    No  ☒ 

Indicate by check mark if the registrant is not requiredto file reports pursuant to Section 13 or 15(d) of the Act.    Yes  ☐    No  ☒ 

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 of1934 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 90days.    Yes  ☒    No  ☐ 

Indicate by check mark whether the registrant hassubmitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter periodthat the registrant was required to submit such files).    Yes  ☒    No  ☐ 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-acceleratedfiler, a smaller reporting company, or an emerging growth company. See the definition 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 ☒Non-accelerated filer ☐  Smaller reporting company ☒   Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition periodfor 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 ExchangeAct).    Yes  ☐    No  ☒ 

The aggregate market value of the registrant’svoting common stock held by non-affiliates of the registrant based on the closing stock price of its common stock on the Nasdaq Capital Market on the last business day of its most recently completed secondfiscal quarter, September 30, 2018, was $167,213,767.00. For purposes of this computation only, all executive officers, directors and 10% or greater stockholders have been deemed affiliates of the registrant. 

As of May 10, 2019, there were 14,763,050 shares of registrant’s common stock outstanding. 

 

 

 
**

**EXPLANATORY NOTE**

pdvWireless, Inc. (the “Company”) is filing this Amendment No. 1 on Form 10-K/A(“Amendment”) to amend its Annual Report on Form 10-K for the year ended March 31, 2019 (the “Form 10-K”), which was originally filed withthe Securities and Exchange Commission on May 20, 2019. The purpose of this Amendment is to refile Exhibit 23.1, Consent of Independent Registered Public Accounting Firm, to include the correct registration statement on Form S-3 to the list of registration statements that are incorporated by reference into the Independent Registered Public Accounting Firm’s report. 

This Amendment speaks as of the original filing date and does not reflect events occurring after the filing of the Form 10-K or modify or update disclosures that may be affected by subsequent events. No revisions are being made to the Company’s financial statements or any other disclosure contained in the Form 10-K.

This Amendment is an exhibit-only filing. Except for the changes to Exhibits 23.1, this Amendmentdoes not otherwise update any exhibits as originally filed or previously amended. 

In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), new certifications by the Company’s principal executive officer and principal financial officer are filed herewith asexhibits to this Amendment pursuant to Rule 13a-14(a) or 15d-14(a) of the Exchange Act. The Company is not including certifications pursuant to Section 1350 ofChapter 63 of Title 18 of the United States Code (18 U.S.C. 1350) as no financial statements are being filed with this Amendment. 

**PART IV**

 
**ITEM 15.**
**EXHIBITS**

(a) (3) *Exhibits*. The following exhibits are filed as part of this Form 10-K/A:

 

**Exhibit No.**
  
**Description ofExhibit**
23.1#  Consent of Grant Thornton LLP Independent Registered Public Accounting Firm relating to the Consolidated Financial Statements of the Company for the year ended March 31, 2019 31.1#  Certification of Principal Executive Officer pursuant to Rules 13a-14 and 15-d-14 promulgated pursuant to the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2#  Certification of Principal Financial Officer pursuant to Rules 13a-14 and 15-d-14 promulgated pursuant to the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 
 
#
Filed herewith. 

**SIGNATURES**

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report tobe signed on its behalf by the undersigned, thereunto duly authorized, on the 15th day of July, 2019. 

 
**pdvWireless, Inc.**By: /s/ MORGAN E. O’BRIEN 
Morgan E. O’Brien

Chief ExecutiveOfficer