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Published: 2021-04-13 17:20:55 ET
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40-F/A 1 tm2111208d3_40fa.htm FORM 40-F/A

 

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

 

AMENDMENT NO. 1

to

FORM 40-F

 

¨     REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934

 

OR

 

x     ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the fiscal year ended

 

December 31, 2020

Commission File Number:

 

001-39989

 

PYROGENESIS CANADA INC.
(Exact name of Registrant as specified in its charter)

 

Canada 3599 N/A

(Province or Other Jurisdiction

of Incorporation or

Organization)

(Primary Standard

Industrial Classification Code)

(I.R.S. Employer Identification

No.)

 

1744, William St. Suite 200
Montréal, QC, H3J1R4

CANADA

Attention: P. Peter Pascali

Chief Executive Officer

 

Tel: 1-514-937-0002
(Address and telephone number of Registrant’s principal executive offices)

 

National Registered Agents, Inc.
1209 Orange St.
Wilmington, Delaware 19801
Tel: 202-572-3133
(Name, address (including zip code) and telephone number (including area code) of agent for service in the United States)

 

Securities registered or to be registered pursuant to section 12(b) of the Act:

 

Title of Each Class Trading Symbol(s) Name of Each Exchange on Which Registered:
Common Shares, no par value PYR The Nasdaq Stock Market LLC

 

Securities registered or to be registered pursuant to Section 12(g) of the Act: None

 

Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act: None

 

For annual reports, indicate by check mark the information filed with this Form:

 

x  Annual Information Form x  Audited Annual Financial Statements

 

Indicate the number of outstanding shares of each of the Registrant’s classes of capital or common stock as of the close of the period covered by the annual report:

 

Title of Each Class Number of outstanding shares
Common Shares, no par value 164,498,341

 

Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act 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     x

  

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     ¨                          No     x

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 12b-2 of the Exchange Act.

 

Emerging growth company x

 

If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, 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.

 

 ¨

 

 

 

 

   

EXPLANATORY NOTE

 

PyroGenesis Canada Inc. (the “Company” or the “Registrant”) is filing this Amendment No. 1 to Form 40-F (the "Form 40-F/A") for the year ended December 31, 2020 to furnish Exhibit 101 to the Form 40-F, which provides certain items from our Form 40-F formatted in eXtensible Business Reporting Language ("XBRL"). In accordance with the policy of the Securities and Exchange Commission (the "Commission") stated in Release No. 33-9002, we are filing this Form 40-F/A within the 30-day period available to first-time XBRL filers following the filing of our Form 40-F, as filed with the Commission on April 1, 2021.

 

No other changes have been made to the Form 40-F other than the furnishing of the exhibit described above. This Form 40-F/A does not reflect subsequent events occurring after the original date of the Form 40-F, or modify or update in any way disclosures made in the Form 40-F.

 

 

EXHIBIT INDEX

 

Exhibit
Number
    Exhibit Description
99.1*     Annual Information Form for the year ended December 31, 2020
99.2*     Management’s Discussion and Analysis for the year ended December 31, 2020
99.3*     Audited Annual Consolidated Financial Statements for the year ended December 31, 2020
99.4*     Certification of The Principal Executive Officer
99.5*     Certification of The Principal Financial Officer
99.6*     Principal Executive Officer Certification Pursuant to 18 U.S.C. Section 1350
99.7*     Principal Financial Officer Certification Pursuant to 18 U.S.C. Section 1350
99.8*     Consent of KPMG LLP
99.9*     Code of Business Conduct and Ethics
101.INS     XBRL Instance
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 Linkbas

 

* Previously filed.

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Exchange Act, the Registrant certifies that it meets all of the requirements for filing on Form 40-F and has duly caused this Annual Report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Date: April 13, 2021 PYROGENESIS CANADA INC.
     
  By: /s/ P. Peter Pascali
    P. Peter Pascali
    Chief Executive Officer