0001079974-15-000851.txt : 20151207 0001079974-15-000851.hdr.sgml : 20151207 20151207160324 ACCESSION NUMBER: 0001079974-15-000851 CONFORMED SUBMISSION TYPE: 10-Q/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151207 DATE AS OF CHANGE: 20151207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pacific Ventures Group, Inc. CENTRAL INDEX KEY: 0000882800 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 752100622 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-Q/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-54584 FILM NUMBER: 151272814 BUSINESS ADDRESS: STREET 1: 117 WEST 9TH STREET SUITE 316 CITY: LOS ANGELES STATE: CA ZIP: 90015 BUSINESS PHONE: 310-392-5606 MAIL ADDRESS: STREET 1: 117 WEST 9TH STREET SUITE 316 CITY: LOS ANGELES STATE: CA ZIP: 90015 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN EAGLE GROUP INC DATE OF NAME CHANGE: 19940301 10-Q/A 1 pacv10qa2_9302015.htm
 
 
 
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
Form 10-Q/A
Amendment No. 3
 
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
For Quarter Ended:  September 30, 2015
 
Commission File Number 000-54584

PACIFIC VENTURES GROUP, INC.
(Exact name of registrant as specified in its charter)
 
Delaware
75-2100622
(State or other jurisdiction of
(IRS Employer Identification No.)
incorporation or organization)
 
   
117 West 9th Street Suite 316 Los Angeles California
90015
(Address of principal executive offices)
(Zip Code)

310-392-5606
 (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 past 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 [   ]

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 [X]  No  [  ]

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 definitions of "large accelerated filer," "accelerated filer," and "smaller reporting company" in Rule 12b-2 of the Exchange Act.

Large Accelerated filer
Accelerated filer
   
Non-accelerated filer 
(Do not check if a smaller reporting company)
Smaller reporting company

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

Indicate the number of shares outstanding of each of the issuer's classes of common equity, as of the latest practicable date.

 
Shares of Common Stock, par value $0.01, outstanding as of December 05, 2015: 25,415,000
Shares of Preferred Stock, par value $0.01, outstanding as of December 05, 2015: 1,000,000






 
 
EXPLANATORY NOTE
 
This Amendment No. 3 to the Form 10-Q (this "Amendment") amends the Quarterly Report on Form 10-Q of Pacific Ventures Group, Inc. for the period ended September 30, 2015, filed on December 7, 2015 (the "Form 10-Q"), as amended, for the purpose of (1) disclosing the appointment of an Interim Chief Financial Officer in Item 5, Other Information, and (2) correcting the signature page of the Form 10-Q and refiling Exhibits 31.1 and 32.1 and in connection therewith, to amend Part II, Item 6 of the Form 10-Q and the Exhibit Index to the Form 10-Q.

No other changes have been made to the Form 10-Q. This Amendment does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way the disclosures made in the original Form 10-Q.


ITEM 6.  EXHIBITS

As previously disclosed in our Form 8-K filed on September 25, 2015, Brett Bertolami resigned as the Company's Chief Executive Officer, Chief Financial Officer, President, Secretary, Treasurer and as a Director, and Robert E. Smith was appointed as the Chairman of the Board of Directors, Chief Executive Officer and as a member of the Board of Directors of the Company, Shannon Masjedi was appointed as the President, Chief Operating Officer, and Secretary and as a member of the Board of Directors of the Company, and Marc Shenkman was appointed as the Executive Vice President and as a member of the Board of Directors of the Company.

In addition, Shannon Masjedi was also appointed the interim Chief Financial Officer of the Company until a permanent replacement is located.
 

 
ITEM 6. Exhibits

Exhibit Number
Description of Exhibit
   
31.1
Certifications pursuant to Exchange Act Rules 13a-15(e) and 15d-15(e), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
   
32.1
Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
 
 

 
- 2 -


 

SIGNATURES
 
Pursuant to the requirements of Section 12 of the Securities and Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized on December 7, 2015.
 
 
PACIFIC VENTURES GROUP, INC.
 
 
 
 
 
 
 
 By:   
/s/ Robert E. Smith 
 
 
Robert E. Smith , Principal Executive Officer
 
 
 
 
 
 By:  
/s/ Shannon Masjedi
 
 
 Shannon Masjedi, Principal Financial Officer and Principal Accounting Officer
 
 
 
 
 
 
 

 
 
 
 
- 3 -

 
 
EX-31.1 2 ex311.htm
 
Exhibit 31.1
 

CERTIFICATION PURSUANT TO
18 USC, SECTION 1350,
AS ADOPTED PURSUANT TO
SECTION 302 OF THE SARBANES OXLEY ACT OF 2002


I, Robert E. Smith, certify that:

 
1.
I have reviewed this quarterly report on Form 10-Q/A of Pacific Ventures Group, Inc., (the "Registrant" or the "Company");
 
 
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 in order 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.
I am responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal controls 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 procedure to be designed under our 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.
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under my supervision, to provide reasonable assurances 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 my conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based upon 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 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.
I have disclosed, based on my 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 function):
 
 
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.


Dated:  December 7, 2015
By: /s/ Robert E. Smith
 
Robert E. Smith Principal Executive Officer


 

 
EX-31.2 3 ex312.htm
 
 Exhibit 31.2
 
CERTIFICATION
 
I, Shannon Masjedi certify that:
 
(1)           I have reviewed this quarterly report on Form 10-Q/A of Pacific Ventures Group, Inc., (the "Company");
 
(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 officers 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 officers 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.

 

Dated:  December 7, 2015
By: /s/ Shannon Masjedi
 
Shannon Masjedi, Principal Financial Officer





 
EX-32.1 4 ex321.htm
 

Exhibit 32.1
 
 

CERTIFICATION PURSUANT TO
18 USC, SECTION 1350,
AS ADOPTED PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002

In connection with the quarterly report of Pacific Ventures Group, Inc., (the "Company") on Form 10-Q/A for the period ended September 30, 2015, as filed with the Securities and Exchange Commission on December 7, 2015 (the "Report"), the undersigned, in the capacities and on the date indicated below, certify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of their knowledge:

 
1.
The Report fully complies with the requirements of Rule 13(a) or 15(d) of the Securities Exchange Act of 1934; and


 
2.
The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.



Dated:  December 7, 2015
/s/ Robert E. Smith
 
Robert E. Smith, Principal Executive Officer
 
 
 
 
Dated:  December 7, 2015
/s/ Shannon Masjedi
 
Shannon Masjedi, Principal Financial Officer