Amended Annual Report (10-k/a)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-K/A

Amendment No. 1 

 

(Mark One)

 

x	Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
	For the Fiscal Year Ended November 30, 2020
o	Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
	For the Transition Period from __________ to

 

Commission File Number: 333-190690
EXEO ENTERTAINMENT, INC.
(Name of small business issuer in its charter)
Nevada	45-2224704
(State or other jurisdiction of incorporation or organization)	(I.R.S. employer identification number)
4478 Wagon Trail Ave.  Las Vegas, NV	89118
(Address of principal executive offices)	(Zip code)
Issuer’s telephone number: [phone]
Securities Registered Pursuant to Section 12(b) of the Act:
Title of each class	Name of each exchange on which registered
Common Stock, $0.0001 par value per share	None; These securities are quoted on the OTC Bulletin Board (OTCBB) and OTC Markets (OTCQB)
Securities Registered Pursuant to Section 12(g) of the Act:
None
(Title of class)

Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes o No x

 

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

 

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 o

 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405) is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. o

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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 o	Accelerated filer o
Non-accelerated filer o (Do not check if a smaller reporting company)	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 o No x

 

The aggregate market value of the voting and non-voting stock held by non-affiliates of the registrant as of November 30, 2020, the last business day of the registrant’s most recently completed fiscal year end, is undeterminable. The total number of common stock held by non-affiliates of the registrant as of this date was 13,092,629. The aggregate market value of such securities on November 30, 2020 was determined by the Company to be $12,908,214 based upon the analysis described in further detail in Item 5 of this report.

 

State the number of shares outstanding of each of the issuer’s classes of common equity, as of the last practicable date, which is March 12, 2021: 30,709,948 Common Shares, 17,000 Series A, and 229,250 Series B Preferred Shares.

 

DOCUMENTS INCORPORATED BY REFERENCE

 

Incorporated by reference within this report are certain documents previously filed with the Commission within Form S-1, as amended, which was filed on August 16, 2013. Such document(s) are listed in Item 15 of this report. 

 

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EXPLANATORY NOTE

The purpose of this amendment on Form 10-K/A to EXEO Entertainment, Inc.’s Annual Report on Form 10-K for the year ended November 30, 2020, filed with the Securities and Exchange Commission on March 16, 2021 is solely to furnish Exhibit 101 to the Form 10-K in accordance with Rule 405 of Regulation S-T.

No other changes have been made to the Form 10-K. This Amendment No. 1 to the Form 10-K speaks as of the original filing date of the Form 10-K, 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 Form 10-K.

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Item 15(B) Exhibits

 

INDEX TO EXHIBITS

 

Exhibit		Description
3.1		Articles of Incorporation (1)
3.2		Amendment to Articles of Incorporation (1)
3.3		Bylaws (1)
3.4		Certificate of Designation (for Series A Preferred Stock) (1)
3.5		Certificate of Designation for Series B Convertible Preferred Stock (2)
10.1		Employment Agreement (Jeffrey Weiland, President) (1)
10.2		Employment Agreement (Robert S. Amaral, CEO) (1)
10.3		Consulting Agreement (Hildebrandt Consulting) (1)
10.4		Exclusive License Agreement (Psyko Audio Labs) (1)
10.5		Exclusive License Agreement (Digital Extreme Technologies, Inc.) (1)
10.6		Project Management Agreement (Elite Product Management) (1)
10.7		2012 Employees/Consultants Stock Compensation Plan Agreement (1)
31.1		Certification of Chief Executive Officer pursuant to Securities Exchange Act Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 *
31.2		Certification of Chief Financial Officer pursuant to Securities Exchange Act Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 *
32.1		Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 *
32.2		Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 *
99.1		Press release issued on September 12, 2014 (3)
99.2		Temporary Hardship Exemption

101.INS		XBRL Instance Document**
101.SCH		XBRL Taxonomy Extension Schema**
101.CAL		XBRL Taxonomy Extension Calculation Linkbase**
101.DEF		XBRL Taxonomy Extension Definition Linkbase**
101.LAB		XBRL Taxonomy Extension Label Linkbase**
101.PRE		XBRL Taxonomy Extension Presentation Linkbase**

 

* Previously filed. 

** Furnished herewith.

 

(1)	Not filed herewith, but this exhibit is incorporated by reference. Previously filed as an exhibit to Exeo Entertainment, Inc.’s Form S-1 filed with the Commission on August 16, 2013, as amended.
(2)	Not filed herewith, but this exhibit is incorporated by reference. Previously filed as an exhibit to Exeo Entertainment, Inc.’s Form 10-K filed with the Commission on March 13, 2014.
(3)	Not filed herewith, but this exhibit is incorporated by reference. Previously filed as an exhibit 99.1 to Exeo Entertainment, Inc.’s Form 10-Q filed with the Commission on October 6, 2014.

Item 15(c) Reports on Form 8-K

 

None.

 

Press Releases

 

None.

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SIGNATURES

 

In accordance with Section 13 or 15(d) of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned, thereto duly authorized.

 

EXEO ENTERTAINMENT, INC.
(Registrant)
Signature	Title	Date
/s/ Jeffrey A. Weiland	President and Director	March 23, 2021
Jeffrey A. Weiland
/s/ Robert S. Amaral	Chief Executive Officer,	March 23, 2021
Robert S. Amaral	Treasurer and Director
	(Principal Executive and Financial Officer

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