U.S. 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 December 31, 2023.

☐

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 0-11104

 

NOBLE ROMAN’S, INC.

(Exact name of registrant as specified in its charter)

 

Indiana

 

35-1281154

(State or other jurisdiction

of incorporation or organization)

 

(I.R.S. Employer

Identification No.)

 

6612 E. 75th Street, Suite 450

Indianapolis, Indiana 46250

(Address of principal executive offices)

 

Registrant’s telephone number, including area code:  (317) 634-3377

 

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

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

N/A

 

 

 

Securities registered pursuant to Section 12(g) of the Act: Common Stock

 

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

 

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 ☐   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 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 ☒   No ☐

 

Indicate by check mark whether the registrant has submitted 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 period that 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-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions 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 period for 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 has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report ☐

 

If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. ☐

 

Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the Registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ☐   No ☒

 

The aggregate market value of the common stock held by non-affiliates of the registrant as of June 30, 2023, the last business day of the registrant’s most recently completed second fiscal quarter, based on the closing price of the registrant’s common shares on such date was approximately $3.14 million.

 

Indicate the number of shares outstanding of each of the registrant’s classes of common stock, as of the latest practicable date: 22,215,512 shares of common stock as of March 1, 2024.

 

Documents Incorporated by Reference:  None

 

 

 

 

EXPLANATION

 

To add signatures where required.

 

SIGNATURES

 

In accordance with of Section 13 or 15(d) 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.

 

 NOBLE ROMAN’S, INC.
    
Date: May 17, 2024By:/s/  Paul W. Mobley

 

 

Paul W. Mobley, Executive Chairman, Chief 
  Financial Officer and Principal Accounting Officer 

 

 
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SIGNATURES

 

In accordance with of Section 13 or 15(d) 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.

 

 NOBLE ROMAN’S, INC.
    
Date: May 16, 2024By:/s/  A. Scott Mobley

 

 

A. Scott Mobley, President and Chief Executive

 

 

 

Officer

 

   
Date: May 16, 2024     By:/s/  Paul W. Mobley 

 

 

Paul W. Mobley, Executive Chairman, Chief

 

 

 

Financial Officer and Principal Accounting Officer

 

 

In accordance with the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

Date: May 16, 2024

 

/s/ Paul W. Mobley

 

 

 

Paul W. Mobley

 

 

 

Executive Chairman of the Board,

Chief Financial Officer and Director

 

 

 

 

 

Date: May 16, 2024

 

/s/ A. Scott Mobley

 

 

 

A. Scott Mobley

 

 

 

President, Chief Executive Officer and Director

 

 

 

 

 

Date: May 16, 2024

 

/s/ Douglas H. Coape-Arnold

 

 

 

Douglas H. Coape-Arnold

 

 

 

Director

 

 

 

 

 

Date: May 16, 2024

 

 

 

 

 

Marcel Herbst

 

 

 

Director

 

 

 

 

 

Date: May 16, 2024

 

 

 

 

 

William Wildman

 

 

 

Director

 

 

 
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