-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WLFo2gSeB0mplI0/eFbVoLhjliwr1sBg5qp/tppGuUSEUq9CTUmlG7QRAAHHRTYK CArjAZTgCVikv5RAsqL/Ng== 0001108017-09-000444.txt : 20091125 0001108017-09-000444.hdr.sgml : 20091125 20091125131324 ACCESSION NUMBER: 0001108017-09-000444 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20091125 DATE AS OF CHANGE: 20091125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Phoenix International Ventures, Inc. CENTRAL INDEX KEY: 0001383637 STANDARD INDUSTRIAL CLASSIFICATION: ORDNANCE & ACCESSORIES, (NO VEHICLES/GUIDED MISSILES) [3480] IRS NUMBER: 208018146 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 333-140257 FILM NUMBER: 091207488 BUSINESS ADDRESS: STREET 1: 2201 LOCKHEED WAY CITY: CARSON CITY STATE: NV ZIP: 89706 BUSINESS PHONE: (775) 882-9700 MAIL ADDRESS: STREET 1: 2201 LOCKHEED WAY CITY: CARSON CITY STATE: NV ZIP: 89706 10-Q/A 1 phjune10qa.htm phjune10qa.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549


FORM 10-Q/A
(Amendment No. 1)

(Mark One)
 
þ
Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
 
for the quarterly period ended  June 30, 2009
 
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 333-140257
 
PHOENIX INTERNATIONAL VENTURES, INC.
(Exact name of registrant as specified in its charter)
 
Nevada
 
20-8018146
(State or other jurisdiction of
incorporation or organization)
 
(I.R.S. Employer
Identification No.)

61B Industrial PKWY
Carson City, NV 89706
(Address of principal executive offices)
 
(775) 882-9700
(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 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  þ  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 (§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 o  No  o

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 þ
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act): Yes o No þ
 
The number of shares outstanding of the issuer’s common stock, as of August 11, 2009 was 8,054,334.
-1-

EXPLANATORY NOTE 


This Amendment No. 1 on Form 10-Q/A (the “Amendment”) of Phoenix International Ventures, Inc.  (the “Company”) amends the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2009, originally filed with the Securities and Exchange Commission on August 11, 2009 (the “Original Report”). This Amendment is being filed solely to amend the certifications of the Company’s Chief Executive Officer and Chief Financial Officer required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 appended as Exhibits 31.1 and 31.2.  Specifically, the Company is re-filing these certifications solely to (i) add certain required language in the introductory paragraph of paragraph 4 and the language of paragraph 4(b) required by Item 601(b)(31) of Regulation S-K; (ii) to remove the title of the individual providing the certification in the first line of the certification, and (iii) to revise the certifications to use the word “report” instead of “quarterly report” in paragraphs 2, 3, and 4.

Other than these changes, the remainder of the document is unchanged from the Original Report.  This Amendment does not reflect events occurring after the filing of the Original Report or modify or update the disclosures therein in any way other than as required to reflect the changes described in this Explanatory Note.

This Amendment has been signed as of a current date, and includes the amended certifications as Exhibits 31.1 and 31.2, which are currently dated.
 
-2-



 
Item 6.
Exhibits
 
 
-3-

SIGNATURES
 
In accordance with the requirements of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
 
Phoenix International Ventures, Inc.
 
 
(Registrant)
 
       
November 24, 2009
By:
/s/ Zahir Teja
 
   
Zahir Teja
 
   
President and Chief Executive Officer
 
       
 
     
     
       
November 24, 2009
By:
/s/ Neev Nissenson
 
   
Neev Nissenson
 
   
Chief Financial Officer
(principal financial and accounting officer)
 
       
 
 
-4-

 
 



INDEX TO EXHIBITS




 
-5-


EX-31.1 2 ex311.htm ex311.htm

CERTIFICATION ACCOMPANYING PERIODIC REPORT PURSUANT TO
SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
 
I, Zahir Teja, certify that:
 
1. I have reviewed this quarterly report on Form 10-Q/A of Phoenix International Ventures, Inc.;
 
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 our 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 fiscal 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; and
 
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.
     
     
       
November 24, 2009
By:
/s/ Zahir Teja
 
   
Zahir Teja
 
   
President and Chief Executive Officer
 
       

 

EX-31.2 3 ex312.htm ex312.htm

 
CERTIFICATION ACCOMPANYING PERIODIC REPORT PURSUANT TO
SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
 
I, Neev Nissenson, certify that:
 
1. I have reviewed this quarterly report on Form 10-Q/A of Phoenix International Ventures, Inc.;
 
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 our 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 fiscal 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; and
 
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.

     
     
       
November 24, 2009
By:
/s/ Neev Nissenson
 
   
Neev Nissenson
 
   
Chief Financial Officer
 

 
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