UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
for the quarterly period ended March 31, 2012
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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: 1-35532
PACIFIC COAST OIL TRUST
(Exact name of registrant as specified in its charter)
Delaware |
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80-6216242 |
(State or other jurisdiction of incorporation or |
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(I.R.S. Employer Identification No.) |
The Bank of New York Mellon Trust Company, N.A., Global Corporate Trust 919 Congress Avenue Austin, Texas |
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78701 |
(Address of principal executive offices) |
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(Zip Code) |
1-800-852-1422
(Registrants 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 o No x
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, 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. (Check one):
Large accelerated filer o |
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Accelerated filer o |
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Non-accelerated filer x |
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Smaller reporting company o |
(Do not check if a smaller reporting company) |
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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
As of June 6, 2012, 38,583,158 Units of Beneficial Interest in Pacific Coast Oil Trust were outstanding.
EXPLANATORY NOTE
The sole purpose of this Amendment to the Registrants Quarterly Report on Form 10-Q for the period ended March 31, 2012 as filed with the SEC on June 8, 2012 (the 10-Q), is to correct a typographical error on the cover page of the 10-Q in the number of Units of Beneficial Interest in Pacific Coast Oil Trust outstanding as of June 6, 2012. No other changes have been made to the 10-Q, whether to update the 10-Q to reflect events occurring subsequent to the filing of the 10-Q or otherwise. Updated certifications have been provided as required.
Item 6. Exhibits.
The exhibits listed in the accompanying index are filed as part of this Quarterly Report on Form 10-Q/A.
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.
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PACIFIC COAST OIL TRUST | ||
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By: |
The Bank of New York Mellon Trust Company, N.A., as Trustee | |
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By: |
/s/ Mike Ulrich |
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Mike Ulrich |
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Vice President |
Date: June 21, 2012
The Registrant, Pacific Coast Oil Trust, has no principal executive officer, principal financial officer, board of directors or persons performing similar functions. Accordingly, no additional signatures are available and none have been provided. In signing the report above, the Trustee does not imply that it has performed any such function or that any such function exists pursuant to the terms of the Trust Agreement under which it serves.
Exhibit Index
Exhibit |
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Description |
1.1 |
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Underwriting Agreement dated as of May 2, 2012 among Pacific Coast Energy Company LP, PCEC (GP) LLC, Pacific Coast Oil Trust and Barclays Capital Inc., Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, J.P. Morgan Securities LLC, UBS Securities LLC and Wells Fargo Securities, LLC, as representatives of the several underwriters named therein (Incorporated herein by reference to Exhibit 1.1 to the Trusts Current Report on Form 8-K filed on May 8, 2012 (File No. 1-35532)). |
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3.1 |
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Certificate of Trust of Pacific Coast Oil Trust. (Incorporated herein by reference to Exhibit 3.1 to the Registration Statement on Form S-1, filed on January 6, 2012 (Registration No. 333-178928)) |
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3.2 |
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Trust Agreement of Pacific Coast Oil Trust, dated January 3, 2012, among Pacific Coast Energy Company LP, Wilmington Trust, National Association, as Delaware trustee of Pacific Coast Oil Trust, and The Bank of New York Mellon Trust Company, N.A., as trustee of Pacific Coast Oil Trust. (Incorporated herein by reference to Exhibit 3.5 to the Registration Statement on Form S-1, filed on January 6, 2012 (Registration No. 333-178928)) |
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3.3 |
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Amended and Restated Trust Agreement of Pacific Coast Oil Trust, dated May 8, 2012, among Pacific Coast Energy Company LP, Wilmington Trust, National Association, as Delaware trustee of Pacific Coast Oil Trust, and The Bank of New York Mellon Trust Company, N.A., as trustee of Pacific Coast Oil Trust. (Incorporated herein by reference to Exhibit 3.1 to the Trusts Current Report on Form 8-K filed on May 8, 2012 (File No. 1-35532)) |
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10.1 |
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Conveyance of Net Profits Interests and Overriding Royalty Interest, dated as of May 8, 2012, by and between Pacific Coast Energy Company LP and Pacific Coast Oil Trust (Incorporated herein by reference to Exhibit 10.1 to the Trusts Current Report on Form 8-K filed on May 8, 2012 (File No. 1-35532)) |
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10.2 |
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Registration Rights Agreement, dated as of May 8, 2012, by and between Pacific Coast Energy Company LP and Pacific Coast Oil Trust (Incorporated herein by reference to Exhibit 10.2 to the Trusts Current Report on Form 8-K filed on May 8, 2012 (File No. 1-35532)) |
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10.3 |
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Operating and Services Agreement, dated as of May 8, 2012, by and between Pacific Coast Energy Company LP and Pacific Coast Oil Trust (Incorporated by reference to Exhibit 10.3 to the Trusts Current Report on Form 8-K filed on May 8, 2012 (File No. 1-35532)) |
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31* |
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Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
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32* |
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Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
*Filed herewith.
Exhibit 31
Certification
I, Michael J. Ulrich, certify that:
1. I have reviewed the quarterly report on Form 10-Q as amended by this Form 10-Q/A of Pacific Coast Oil Trust, for which The Bank of New York Mellon Trust Company, N.A., acts as Trustee;
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 of the registrant as of, and for, the periods presented in this report;
4. I am responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) or for causing such controls and procedures to be established and maintained, for the registrant and I have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under my supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to me by others within those entities, particularly during the period in which this report is being prepared;
(b) Evaluated the effectiveness of the registrants disclosure controls and procedures and presented in this report my 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
(c) Disclosed in this report any change in the registrants internal control over financial reporting that occurred during the registrants most recent fiscal quarter (the registrants fourth quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrants internal control over financial reporting; and
5. I have disclosed, based on my most recent evaluation, to the registrants auditors:
(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 registrants ability to record, process, summarize and report financial information; and
(b) Any fraud, whether or not material, that involves any persons who have a significant role in the registrants internal control over financial reporting.
In giving the foregoing certifications, I have relied to the extent I consider reasonable on information provided to me by Pacific Coast Energy Company, LP.
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/s/ Michael J. Ulrich |
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Michael J. Ulrich |
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Vice President |
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The Bank of New York Mellon Trust Company, N.A. as Trustee of Pacific Coast Oil Trust |
Date: June 21, 2012
Exhibit 32
Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
RE: Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. Section 1350)
Ladies and Gentlemen:
In connection with the Quarterly Report of Pacific Coast Oil Trust (the Trust) on Form 10-Q as amended by Form 10-Q/A for the quarterly period ended March 31, 2012 as filed with the Securities and Exchange Commission on the date hereof (the Report), the undersigned, not in its individual capacity but solely as the Trustee of the Trust, certifies pursuant to 18 U.S.C. § 1350, that to its knowledge:
(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and
(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Trust.
The above certification is furnished solely pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1350) and is not being filed as part of the Form 10-Q/A or as a separate disclosure document.
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/s/ Michael J. Ulrich |
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Michael J. Ulrich |
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Vice President |
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The Bank of New York Mellon Trust Company, N.A., as Trustee of Pacific Coast Oil Trust |
June 21, 2012