UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-QSB/A
| x | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the period ended September 30, 2004
| ¨ | 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 : 0-28462
WEBB INTERACTIVE SERVICES, INC.
(Exact name of registrant as specified in its charter)
| Colorado | 84-1293864 | |
| (State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) |
1899 Wynkoop, Suite 600
Denver, CO 80202
(Address of principal executive offices, including zip code)
(303) 308-3180
(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 x No ¨
Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act) Yes ¨ No x
The number of shares of registrant’s common stock outstanding as of as of October 21, 2004 was: 25,433,552
WEBB INTERACTIVE SERVICES, INC.
FORM 10-QSB
QUARTERLY REPORT
Webb’s Form 10-QSB for the quarter ended September 30, 2004 filed on November 15, 2004, is hereby amended as follows:
Item 3. CONTROLS AND PROCEDURES.
At the end of the period covered by this report, Webb conducted an evaluation, under the supervision and with the participation of Webb’s principal executive and principal financial officer, of Webb’s disclosure controls and procedures (as defined in Rules 12a-15(e) and 15d-15(e) under the Securities Exchange Act of 1934 (the “Exchange Act”)). Based on this evaluation, the principal executive and principal financial officer concluded that Webb’s disclosure controls and procedures are effective to insure that information required to be disclosed by Webb in reports that it files or submits under the Exchange Act is recorded, processed, summarized and reported within the time period specified in Securities and Exchange Commission rules and forms and is accumulated and communicated to Webb’s management, including its principal executive and principal financial officer, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure.
There have been no changes in internal control over financial reporting that occurred during the fiscal period covered by this report that have materially affected, or are reasonably likely to materially affect, Webb’s internal control over financial reporting.
Item 6. Exhibits and Reports on Form 8-K
| (a) | Listing of Exhibits: | |||
| 3.1(a) | Articles of Incorporation, as amended, of Webb Interactive Services, Inc. (1) | |||
| 3.1(b) | Articles of Amendment setting forth the terms of Series D Junior Convertible Preferred Stock (2) | |||
| 3.2 | Bylaws of Webb Interactive Services, Inc. (3) | |||
| 4.1 | Specimen form of Webb Interactive Services, Inc. common stock certificate (4) | |||
| 4.2 | Webb Interactive Services, Inc. Stock Option Plan of 1995 (3) | |||
| 4.3 | Form of Incentive Stock Option Agreement for Webb Interactive Services, Inc. Stock Option Plan of 1995 (3) | |||
| 4.4 | Form of Nonstatutory Stock Option Agreement for Webb Interactive Services, Inc. Stock Option Plan of 1995 (3) | |||
| 4.5 | Webb Interactive Services, Inc. Stock Option Plan of 2000, including forms of Incentive and Nonstatutory Stock Option Agreements (5) | |||
| 4.6 | Stock Purchase Warrant dated August 25, 1999, as amended December 18, 1999, issued by Webb Interactive Services, Inc. to Castle Creek Technology Partners, Inc. (6) | |||
| 4.7 | Stock Purchase Warrant dated December 18, 1999 issued by Webb Interactive Services, Inc. to Castle Creek Technology Partners, Inc. (6) | |||
| 4.8 | Stock Purchase Warrant dated December 31, 1999 issued to by Webb Interactive Services, Inc. Marshall Capital Management, Inc. and Castle Creek Technology Partners, LLC (7) | |||
| 4.9 | Form of Stock Purchase Warrant, form of Series D Stock Purchase Warrant and form of amended Stock Purchase Warrants dated January 17, 2002 issued by Webb Interactive Services, Inc. to Castle Creek Technology Partners, LLC (2) | |||
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| 10.1 | Form of Nondisclosure and Nonsolicitation Agreement between Webb Interactive Services, Inc. and its employees (1) | |||
| 10.2 | Employment Agreement between Webb Interactive Services, Inc. and Lindley S. Branson, dated March 1, 2002 (8) | |||
| 10.3 | Securities Purchase Agreement dated as of January 17, 2002, between Webb Interactive Services, Inc. and Jona, Inc. Included as an exhibit is a Registration Rights Agreement (2) | |||
| 10.4 | Letter Agreement between Webb Interactive Services, Inc. and Jona, Inc. (8) | |||
| 10.5 | Exchange Agreement dated January 17, 2002 between Webb Interactive Services, Inc. and Castle Creek Technology Partners LLC. Included as an exhibit is a Registration Rights Agreement (2) | |||
| 10.6 | Series D Preferred Stock Purchase Agreement dated March 17, 2003, by and among Jabber, Inc. France Telecom Technologies Investissements, Intel Capital Corporation, and Webb Interactive Services, Inc. Included as exhibits to the Stock Purchase Agreement are the Restated Certificate of Incorporation of Jabber, Inc. and the following additional agreements among the parties to the Stock Purchase Agreement: Investors Rights Agreement; Right of First Refusal and Co-Sale Agreement; and Voting Agreement. (9) | |||
| 10.7 | Jabber, Inc. Certificate of Designation for Series D Convertible Preferred Stock (9) | |||
| 10.8 | Exchange Agreement, dated as of October 21, 2003, by and between Webb Interactive Services, Inc. and Jona, Inc. (10) | |||
| 31.1 | Certification of Chief Executive Officer and Chief Financial Officer* | |||
| 32.1 | Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002* | |||
| * | Filed herewith. |
| (1) | Filed with the Registration Statement on Form S-3, filed January 29, 1999, Commission File No. 333-71503. |
| (2) | Filed with the Registration Statement on Form SB-2, filed April 5, 1996, Commission File No. 333-3282-D. |
| (3) | Filed with the Registration Statement on Form S-3, filed September 24, 1999, Commission File No. 333-86465. |
| (4) | Filed with the Form 10-KSB Annual Report for the year ended December 31, 2000, Commission File No. 0-28462. |
| (5) | Filed with the Current Report on Form 8-K, filed January 22, 2002 and amended on January 29, 2002, Commission File No. 0-28462. |
| (6) | Filed with Amendment No. 2 to Webb’s Registration Statement on Form S-3, filed January 3, 2000, Commission File No. 333-87887. |
| (7) | Filed with the Current Report on Form 8-K, filed January 5, 2000, Commission File No. 0-28462. |
| (8) | Filed with the Form 10-KSB Annual Report for the year ended December 31, 2001, Commission File No. 0-28462. |
| (9) | Filed with the Current Report on Form 8-K, filed on March 20, 2003, Commission File No. 0-28462. |
| (10) | Filed with the Quarterly Report on Form 10-QSB for the quarter ended September 30, 2003, Commission File No. 0-28462. |
| (b) | Reports on Form 8-K. The Company filed reports on Form 8-K during the quarter ended September 30, 2004, as follows: (i) under Item 12 of Form 8-K on July 28, 2004; and (ii) under Item 5.02 on Form 8-K on September 28, 2004. |
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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.
| WEBB INTERACTIVE SERVICES, INC. | ||||
| Date: July 21, 2005 | By | /s/ Lindley S. Branson | ||
| Vice President - General Counsel | ||||
| (Principal Executive and Principal Financial Officer) | ||||
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