Revolutions Medical Corp - Recent Material Event
PART I. FINANCIAL INFORMATION
ITEM 1. FINANCIAL STATEMENTS
INDEX TO FINANCIAL STATEMENTS
Consolidated Balance Sheet at September 30, 2007 (Unaudited) 3
Consolidated Statements of Operations For The Period From Inception (August 16, 1996)
to September 30, 2007 and For The Three Months and Nine Months Ended
September 30, 2007 and 2006 (Unaudited) 4
Consolidated Statements of Cash Flows For The Period From Inception (August 16, 1996)
to September 30, 2007 and For The Nine months Ended September 30, 2007 and 2006 (Unaudited) 5
Notes to Consolidated Financial Statements (Unaudited) 7
2
REVOLUTIONS MEDICAL CORPORATION AND SUBSIDIARY
(A Development Stage Company)
CONSOLIDATED BALANCE SHEET
September 30, 2007
(UNAUDITED)
ASSETS
CURRENT ASSETS
Cash $ 42,278
Goodwill 23,276
-------------
TOTAL ASSETS $ 65,554
=============
LIABILITIES AND SHAREHOLDERS' EQUITY
CURRENT LIABILITIES
Accounts payable and accrued liabilities $ 227,741
Accrued Salaries 1,188,153
Notes Payable and Accrued Interest 285,920
-------------
Total current liabilities 1,701,814
-------------
Total liabilities 1,701,814
-------------
Minority Interest (104,234)
-------------
SHAREHOLDERS' DEFICIENCY
Preferred stock, $0.001 par value,
5,000,000 shares authorized; 1,000,000 shares issued and outstanding 1,000
Common stock, $0.001 par value,
250,000,000 shares authorized; 17,962,422 shares issued and outstanding 17,962
Paid in capital 17,294,741
Deficit accumulated during the development stage (18,845,730)
-------------
Total shareholders' deficiency (1,532,026)
-------------
TOTAL LIABILITIES AND SHAREHOLDERS' DEFICIENCY $ 65,554
=============
The accompanying notes are an integral part of the interim financial statements
3
REVOLUTIONS MEDICAL CORPORATION AND SUBSIDIARY
(A Development Stage Company)
CONSOLIDATED STATEMENTS OF OPERATIONS
From Inception (August 16, 1996) Through September 30, 2007 and
For The Three Months and Nine Months Ended September 30, 2007 and 2006
(UNAUDITED)
FROM INCEPTION
(AUGUST 16,
1996) THREE MONTHS THREE MONTHS NINE MONTHS NINE MONTHS
THROUGH ENDED ENDED ENDED ENDED
SEPTEMBER 30, SEPTEMBER 30, SEPTEMBER 30, SEPTEMBER 30, SEPTEMBER 30,
2007 2007 2006 2007 2006
------------------------------------------------------------------------------------
Investment Income $ 170,753 $ - $ - $ - $ -
Other Income 3,857 - - - -
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174,610 - - -
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EXPENSES
Research and development 2,037,016 75,000 - 166,030 39,000
Purchased R&D- Clear Image
transaction (See Note 3) 3,309,515 - - 3,309,515 -
General and administrative 13,593,312 230,082 76,356 704,243 399,454
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Total operating expenses 18,939,843 305,082 76,356 4,179,788 438,454
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Operating loss (18,765,233) (305,082) (76,356) (4,179,788) (438,454)
Interest income 17,276 - - -
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Interest expense 113,120 9,512 9,487 28,486 25,480
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Loss on disposal of assets (794) - - - -
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Depreciation and amortization 75,536 - - - -
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Minority Interest (90,089) (48,132) - (90,089)
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Net loss from operations $ (18,845,730) $ (266,462) $ (85,843) $ (4,118,185) $ (463,934)
====================================================================================
Weighted average shares outstanding 42,499,272 17,192,868 7,158,453 17,585,953 6,999,735
====================================================================================
Net loss per share (Note 1) $ (0.44) $ (0.02) $ (0.01) $ (0.23) $ (0.07)
====================================================================================
The accompanying notes are an integral part of the interim financial statements
4
REVOLUTIONS MEDICAL CORPORATION AND SUBSIDIARY
(A Development Stage Company)
CONSOLIDATED STATEMENTS OF CASH FLOWS
From Inception (August 16, 1996) Through September 30, 2007 and
For The Nine Months Ended September 30, 2007 and 2006
(UNAUDITED)
FROM INCEPTION
(AUGUST 16,
1996)
THROUGH NINE MONTHS ENDED
SEPTEMBER SEPTEMBER SEPTEMBER
30, 2007 30, 2007 30, 2006
-------------------------------------------
OPERATING ACTIVITIES
Net loss $ (18,845,730) $(4,118,185) $ (463,934)
Plus non-cash charges to earnings:
Depreciation and amortization 75,525 - -
Purchased R&D- Clear Image transaction (See Note 3) 3,309,515 3,309,515 -
Common stock issued for services 3,747,408 390,000 108,500
Preferred Stock issued for services 20,000 - -
Expenses paid by third parties 57,134 - -
Contribution of services by officer and employees 799,154 - -
Services by officer and employees paid for
with non-cash consideration 167,500 - -
Compensation cost for option price reduction 50,000 - 50,000
Amortization of compensation cost for options
granted to non-employees and common stock
issued for services 1,775,577 - -
Allowance for doubtful accounts 50,900 - -
Write-off of Notes Receivable 14,636 - -
Write-off of organizational costs 3,196 - -
Write-off of zero value investments 785,418 - -
Write-off of leasehold improvements and
computer equipment 2,006 - -
Compensation costs for stock options and warrants
granted to non-employees 1,205,015 - -
Change in working capital accounts:
(Increase) decrease in receivables from related parties (68,900)
(Increase) decrease in goodwill (23,276) (23,276) -
(Increase) decrease in other receivables (176,577)
Increase (decrease) in accrued salaries and consulting 963,100 247,000 175,601
Increase (decrease) in accrued interest 81,999 28,486 25,480
Increase (decrease) in accounts
payable and accrued liabilities 1,084,290 8,715 47,713
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Total operating activities (4,922,110) (157,745) (56,640)
-------------------------------------------
INVESTING ACTIVITIES
Purchase of equipment (67,042) - -
Investment in syringe patent development (10,000) - -
Investment in Ives Health Company (251,997) - -
Investment in The Health Club (10,000) - -
-------------------------------------------
Total investing activities (339,039) - -
-------------------------------------------
FINANCING ACTIVITIES
Loans from shareholders 13,907 8,000
Repayment of loans from shareholders (8,005) -
Repayments of Promissory Notes 190,754
Common stock subscribed 34,000 29,000
Sale of preferred stock for cash: (1,000)
Sale of common stock for cash:
(CONSOLIDATED STATEMENTS OF CASH FLOWS CONTINUED ON NEXT PAGE)
The accompanying notes are an integral part of the interim financial statements
5
REVOLUTIONS MEDICAL CORPORATION AND SUBSIDIARY
(A Development Stage Company)
CONSOLIDATED STATEMENTS OF CASH FLOWS
From Inception (August 16, 1996) Through September 30, 2007 and
For The Three Months Ended September 30, 2007 and 2006
(UNAUDITED)
(CONTINUED FROM PREVIOUS NEXT PAGE)
FROM INCEPTION
(AUGUST 16,
1996) THROUGH NINE MONTHS ENDED
SEPTEMBER 30, SEPTEMBER 30, SEPTEMBER 30,
2007 2007 2006
--------------------------------------------------
To third-party investors (prior to merger) 574,477 - -
To third-party investors 3,526,045 300,000
From exercise of stock options 924,800 18,000
Less: Issue Costs (102,318) - -
Convertible debentures issued for cash 355,000 - -
Payment of exclusive license note payable (100,000) - -
--------------------------------------------------
Total financing activities 5,407,660 300,000 55,000
--------------------------------------------------
MINORITY INTEREST (104,233) (104,233)
Change in cash 42,278 38,022 (1,640)
Cash at beginning of period - 4,256 1,726
--------------------------------------------------
Cash at end of period $ 42,278 $ 42,278 $ 86
==================================================
Supplemental disclosure of cash flow information:
Cash paid for interest and taxes during the period 29,084 - -
--------------------------------------------------
Non-cash financing and investing activities:
Common Stock issued- Clear Image transaction
(See Note 3) 3,309,515 3,309,515 -
Investment in Globe Joint Venture 637,566 - (12,500)
Common stock issued to founders 7,000 - -
Common stock issued in connection with merger
with Cerro Mining Corporation 300 - -
Common stock issued in Ives merger 346,262 - -
Common stock subscriptions 69,800 - -
Capitalized compensation cost for options granted 1,487,700 - -
Common stock issued in exchange for promissory note 676,500 - -
Common stock issued for payment of debt 82,888 6,000
Common stock issued for convertible debentures 190,660 - -
Common stock issued for services 471,663 - -
Common stock issued to pay Ives debt 27,000 - -
The accompanying notes are an integral part of the interim financial statements
6
REVOLUTIONS MEDICAL CORPORATION AND SUBSIDIARY
(A Development Stage Company)
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
September 30, 2007
(UNAUDITED)
NOTE 1 - SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Basis of Presentation
-----------------------
The accompanying interim consolidated financial statements of Revolutions
Medical Corporation ("RevMed") and its partially-owned subsidiary Clear Image,
Inc. ("Clear Image"), together referred to as the "Company" are unaudited;
however, in the opinion of management, the interim consolidated financial
statements reflect all adjustments, consisting only of normal recurring
adjustments, necessary for a fair presentation of the results for the interim
periods. All intercompany balances and transactions have been eliminated in
consolidation. The results of operations for the nine months ended September
30, 2007 are not necessarily indicative of the results to be expected for the
year ending December 31, 2007. These consolidated financial statements should
be read in conjunction with the consolidated financial statements and notes for
the year ended December 31, 2006 appearing in the Company's Annual Report on
Form 10-KSB for the year ended December 31, 2006, as filed with the Securities
and Exchange Commission.
Organization and Nature of Operations
-----------------------------------------
Revolutions Medical Corporation, a Nevada corporation, ("RevMed" or "the
Company") is principally engaged in the design and development of retractable
safety needle devices intended to reduce the risk of accidental needle stick
injuries among health care workers. RevMed owns 62.2% of the common stock of
Clear Image, Inc., which is developing a color MRI technology. The Company has
no products for sale at this time.
Development Stage Company
---------------------------
Since its inception in 1996, the Company has been considered a development
stage enterprise for financial reporting purposes as significant efforts have
been devoted to raising capital and to research and development of various
safety needle devices.
Cash and Cash Equivalents
----------------------------
The Company considers highly liquid investments (those readily convertible
to cash) purchased with original maturity dates of three months or less to be
cash equivalents.
Stock-based Compensation
-------------------------
The Company has adopted Statement of Financial Accounting Standards ("SFAS") No.
123 (revised 2004), "Share-Based Payment" ("SFAS 123R"). SFAS 123R requires the
recognition of the cost of employee services received in exchange for an award
of equity instruments in the financial statements and is measured based on the
grant date fair value of the award. SFAS 123R also requires the stock option
compensation expense to be recognized over the period during which an employee
is required to provide service in exchange for the award (the vesting period).
Income Taxes
-------------
The Company uses the liability method of accounting for income taxes as set
forth in Statement of Financial Accounting Standards No. 109, "Accounting for
Income Taxes." Under the liability method, deferred taxes are determined based
on the differences between the financial statement and tax basis of assets and
liabilities at enacted tax rates in effect in the years in which the differences
are expected to reverse.
Segment Information
--------------------
Effective January 1, 1998, the Company adopted the provisions of SFAS No.
131, "Disclosures about Segments of an Enterprise and Related Information". The
Company identifies its operating segments based on business activities,
management responsibility and geographical location. During the period
7
covered by these financial statements, the Company operated in a single business
segment engaged in developing selected healthcare products.
Earnings (Loss) per Share
----------------------------
The Company computes net income per share in accordance with SFAS No. 128,
"Earnings per Share" and SEC Staff Accounting Bulletin No. 98 ("SAB 98"). Under
the provision of SFAS No. 128 and SAB 98 basic net income (loss) per share is
calculated by dividing net income (loss) available to common stockholders for
the period by the weighted average shares of common stock of the Company
outstanding during the period. Diluted net income per share is computed by
dividing the net income for the period by the weighted average number of common
and common equivalent shares outstanding during the period. The calculation of
fully diluted income (loss) per share of common stock assumes the dilutive
effect of stock options and warrants outstanding. During a loss period, the
assumed exercise of outstanding stock options and warrants has an anti-dilutive
effect. Therefore, the outstanding stock options were not included in the
September 30, 2007 and 2006 calculations of loss per share.
Use of Estimates
------------------
The preparation of financial statements in conformity with accounting
principals generally accepted in the United States of America requires
management to make estimates and assumptions that affect the reported amounts of
assets and liabilities and disclosure of contingent assets and liabilities at
the date of the financial statements and the reported revenues and expenses
during the reporting period. Actual results could differ significantly from
those estimates.
Reclassifications
-----------------
Certain reclassifications may have been made to the prior year financial
statements to conform to the current period presentation.
Long-Lived Assets
------------------
Property, plant and equipment, including significant improvements, are
stated at cost. Expenditures for maintenance and repairs are charged to
operating expenses as incurred. When properties are retired or otherwise
disposed of, the cost of the asset and the related accumulated depreciation are
removed from the accounts with the resulting gain or loss being reflected in
results of operations.
Management assesses the recoverability of property and equipment, goodwill,
trademarks and other intangible assets whenever events or changes in
circumstances indicate that the carrying amount of an asset may not be
recoverable from its future undiscounted cash flows. If it is determined
impairment has occurred, an impairment loss is recognized for the amount by
which the carrying amount of the asset exceeds its estimated fair value.
New Accounting Standards
--------------------------
The Financial Accounting Standards Board ("FASB") periodically issues new
accounting standards in a continuing effort to improve standards of financial
accounting and reporting. Management has reviewed the recently issued
pronouncements and concluded that the following new accounting standards are
potentially applicable to the Company.
In June 2006, the Financial Accounting Standards Board issued FASB
Interpretation No. 48, Accounting for Uncertainty in Income Taxes - an
interpretation of FASB Statement No. 109 (FIN 48). This interpretation
clarifies the accounting for uncertainty in income taxes recognized in an
enterprise's financial statements in accordance with FASB Statement No. 109,
Accounting for Income Taxes. FIN 48 prescribes a recognition threshold and
measurement attribute for the financial statement recognition and measurement of
a tax position taken or expected to be taken in a tax return. It also provides
guidance on derecognition, classification, interest and penalties, accounting in
interim periods, disclosure, and transition. FIN 48 is effective for fiscal
years beginning after December 15, 2006. The Company does not expect the
adoption of FIN 48 to have a material effect on its financial statements and
related disclosures.
In September 2006, the FASB issued SFAS No. 157, "Fair Value Measurements "
(SFAS 157). This statement defines fair value, establishes a framework for
measuring fair value in GAAP, and expands disclosures about fair value
measurements. SFAS 157 is effective for financial statements issued for fiscal
8
years beginning after November 15, 2007. The Company is currently evaluating the
impact of adopting SFAS 157 on our financial condition and results of
operations.
In September 2006, the FASB issued SFAS No. 158, "Employers' Accounting for
Defined Benefit Pension and Other Postretirement Plans - an amendment of FASB
Statements No. 87, 88, 106 and 132(R)" (SFAS No. 158"). Because the Company does
not have a defined benefit pension and other postretirement plans, the Company
does not expect SFAS No. 158 to have a material effect on its financial
statements and related disclosures.
In February 2007, the FASB issued SFAS No. 159, The Fair Value Option for
Financial Assets and Financial Liabilities-Including an amendment to FASB
Statement No. 115 ("SFAS 159"). SFAS 159 allows companies to choose to measure
eligible assets and liabilities at fair value with changes in value recognized
in earnings. Fair value treatment for eligible assets and liabilities may be
elected either prospectively upon initial recognition, or if an event triggers a
new basis of accounting for an existing asset or liability. SFAS 159 is
effective in the first quarter of 2008 and the Company is currently evaluating
the impact of adoption on its financial position and results of operations. The
Company does not expect to elect early adoption.
NOTE 2 - UNCERTAINTIES
The accompanying financial statements have been prepared assuming the
Company will continue as a going concern. The Company is in the development
stage and has not established sources of revenues to fund the development of
business and pay operating expenses, resulting in a cumulative net loss of
$(18,845,731) for the period from inception (August 16, 1996) to September 30,
2007. The ability of the Company to continue as a going concern during the next
year depends on the successful completion of the Company's capital raising
efforts to fund the development of its retractable safety syringe and its color
MRI technology. The financial statements do not include any adjustments that
might be necessary if the Company is unable to continue as a going concern.
NOTE 3 - ACQUISITION OF CLEAR IMAGE ACQUISITION CORP
On March 26, 2007, RevMed completed the acquisition of Clear Image
Acquisition Corporation ("Acquisition Corp.") in exchange for 8,273,788 shares
of RevMed common stock. Acquisition Corp is a company that was formed by certain
shareholders of Clear Image, Inc. ("Clear Image"), an placeStateOklahoma
corporation, in order to assemble a control block of the shares of Clear Image
for the purposes of such a transaction. The sole asset of Acquisition Corp was a
block of 9,824,139 shares of the Common Stock of Clear Image, a development
stage company which is developing certain proprietary and patent pending
technology related to color MRI scans. The block of Clear Image shares owned by
Acquisition Corp represented 62.2% of Clear Image's outstanding common stock. By
acquiring Acquisition Corp, RevMed has acquired control of Clear Image, Inc. as
a partially-owned subsidiary.
In determining the number of shares to be exchanged by RevMed for the
shares of Clear Image shares held by Acquisition Corp., the Board based the
transaction value on the funds expended by Clear Image for the color MRI
technology in its then current state, using a value of Forty Cents ($.40) per
share, which was the average market value when the acquisition agreement was
signed in January, 2007. During the third quarter of 2007, it was determined
that the accounting treatment for the transaction should be accounted for in
accordance with FASB Interpretation No. 4. "Applicability of FASB Statement No.
2 to Business Combinations Accounted for by the Purchase Method" and Statement
of Financial Accounting Standards No. 2 "Accounting for Research and Development
Costs." which require research and development costs to be expensed if there are
no alternative uses. Accordingly, the Company recorded goodwill of $23,274 and
an expense of $3,309,515.
The shareholders of Acquisition Corp. did not receive a larger portion of
the voting rights in RevMed, the surviving company, because of RevMed's
outstanding preferred stock (See Note 5. "Preferred
9
Stock and Common Stock Transactions"), so the transaction did not require
the use of recapitalization or reverse merger accounting. RevMed plans to pay
the minimal costs of Acquisition Corp's liquidation and dissolution.
Prior to RevMed's acquisition of Acquisition Corp., RevMed's officer and
directors were directors and shareholders of Clear Image, Inc. and, along with
other shareholders, contributed their Clear Image shares to Acquisition Corp. In
connection with RevMed's acquisition of Acquisition Corp., Ron Wheet, RevMed's
CEO and a Director, received 2,286,000 shares of RevMed restricted common stock;
Dr. Beahm, a Director, received 1,599,125 shares of RevMed restricted common
stock; and Mr. O'Brien, a Director, received 1,645,625 shares of RevMed
restricted common stock.
NOTE 4 - OTHER COMMITMENTS AND CONTINGENCIES
Employment Agreement with Rondald Wheet, CEO
-------------------------------------------------
As of September 30, 2007, the Company owed Mr. Wheet $209,524 pursuant to
his employment agreement, of which $37,500 was accrued and $-0- was paid during
the quarter ended September 30, 2007. Mr. Wheet's employment agreement provides
for an annual salary of $150,000 with an annual salary increase equal to no less
than the percentage increase in the Consumer Price Index during the previous
calendar year. Mr. Wheet has the right to participate in other businesses as
long as those businesses do not compete directly or conflict with the business
of the Company and so long as he devotes the necessary working time, as
determined in his sole discretion, to the Company's business activities. He is
responsible for the Company's substantive and financial reporting requirements
of the Securities Exchange Act of 1934, as amended, and is specifically allowed
to hire any and all professionals necessary to assist that process. The
employment agreement which was entered into during March of 2005 for a two-year
period, automatically renewed in 2007 and continues for an additional two-year
period. He is entitled to participate in all executive bonuses, provided that
if he is the sole director at the time such bonus is authorized, then an
independent third party shall render a fairness opinion as to the bonus, or such
bonus shall be put to a vote of the shareholders. The Company will provide him
with all reasonable and customary fringe benefits, including, but not limited
to, participation in pension plans, profit sharing plans, employee stock
ownership plans, stock option plans (whether statutory or not), stock
appreciation rights plans, hospitalization, medical dental disability and life
insurance, vacation and sick leave. The Company will reimburse of all his
reasonable and necessary travel, entertainment or other related expenses
incurred by him in carrying out his duties and responsibilities under the
agreement. The Company will also provide him with a cell phone, suitable office
space, and membership dues in professional organizations and for any seminars
and conferences related to Company business.
During the term of the agreement, the Company is obligated to indemnify him for
all legal expenses and liabilities incurred with any proceeding involving him by
reason of his being an officer, director, employee or agent of the Company,
including paying reasonable attorney fees and expenses as incurred in the event
that, in his sole judgment, he needs to retain counsel or otherwise expend
personal funds for his defense. The Company shall also provide reasonable
Director and Officer insurance and/or Warranty and Representations insurance
coverage for Wheet. The terms and extent of such insurance shall be dictated by
industry standard and circumstance.
Either party may terminate Mr. Wheet's employment under this Agreement by
giving the other party 30-days advance written notice. A decision by the
Company to terminate his employment shall require an affirmative vote of more
than 66-2/3% of the Board, except in the case of his death. If the Agreement is
terminated for cause or as a result of his death, the Company shall pay him or
his estate not later than 30 days following his termination for cause or
terminated because of his death, a lump sum severance payment consisting of his
salary and accrued salary through the date of his termination or death plus all
amounts he would have been entitled to under the Company's employee benefit
plans and a pro rata amount of bonus. If the agreement is terminated without
cause or terminated because of permanent disability or a change of control, then
the Company shall pay him not later than 30 days following the termination a
lump sum severance payment consisting of his salary for 24 months, and a pro
rata amount of bonus he is eligible to receive. If he resigns for any reason
other than a change of control, the Company shall pay him not later 30 days
following his resignation a lump sum severance payment consisting of his
10
salary through the date of his resignation, all amounts he is entitled to
pursuant to the Company's employee benefit plans, his salary for a period of 90
days after his resignation and a pro rata amount of bonus he is eligible to
receive under the Company's bonus program. For one year following his
resignation or termination (except in the case of termination for cause or a
change of control), Mr. Wheet will not work for or provide any services in any
capacity to any competitor and will not solicit any of the Company's customers
or accounts.
Mutual Release and Settlement Agreement With Former CEO
--------------------------------------------------------------
On April 14, 2005, the Company and its former CEO entered into a mutual
release and settlement agreement, pursuant to which the Company issued to the
former CEO a promissory note for $216,834.16 and a warrant to purchase up to
645,662 shares of common stock at $0.02 per share (after the 1 for 20 reverse
stock split on January 23, 2007) on or before April 14, 2010. In addition, the
mutual release and settlement provides for continued indemnification of the
former CEO and mutual releases. The note which was due April 14, 2006, is
unsecured and bears a default interest at 18% per year As of September 30, 2007,
the Company had accrued interest payable of approximately $82,000. During
2006, the warrant was partially exercised to purchase 300,000 shares of common
stock. The exercise price of $6,000 was paid by reducing the principal balance
of the promissory note by $6,000. During the quarter ended September 30, 2007,
the remainder of the warrant was exercised and the Company issued 345,662 shares
of common stock. The exercise price of $6,913 was paid by reducing the
principal balance of the promissory note.
Amounts Due Pursuant to Employment and Consulting Agreements
-------------------------------------------------------------------
The Company has accrued approximately $978,628 pursuant to employment and
consulting agreements which are in default. Although the Company plans to
settle these amounts, there is no assurance that its efforts to settle will be
successful. No litigation related to these agreements has been initiated or
threatened. There is no assurance, however, that such litigation will not be
initiated in the future.
Patent Applications for the Company's RevVac Safety Syringe
------------------------------------------------------------------
Although the Company owns a patent published January 2006 and a patent
application was filed by the Globe/RevMed Joint Venture in September 2005 for
the RevVac safety syringe, there is no assurance that a patent will issue, that
further patent protections will be sought or secured, or that any present
patents will provide the Company with protections. The lack of patent
protection, whether foreign or domestic, could allow competitors to copy and
sell products based on our designs without paying us a royalty, which could have
a material adverse effect on the Company's business.
Clear ImagePatent Applicationsand License to Color MRI Technology
------------------------------------------------------------------------
Clear Image owns four (4) separate patent applications, filed June 15,
2006, which were assigned to Clear Image by its consultant, Richard Theriault.
There is no assurance that any patent protections will be secured. The lack of
patent protection, whether foreign or domestic, could allow competitors to copy
and sell products based on our designs without paying us a royalty, which could
have a material adverse effect on the Company's business.
In 1996, Clear Image, Inc. acquired an exclusive license to a color MRI
technology from the University of South Florida Research Foundation ("USFRF").
In 2002, USFRF notified Clear Image that the license was terminated because
Clear Image had not used its "best efforts", an assertion which Clear Image
disputed. Although the current stage of the Company's technology uses color MRI
technology, the Company believes that it is sufficiently separate from the
technology licensed to it by USFRF to permit it to proceed regardless of the
status of the license from USFRF. Clear Image believes that its color MRI
technology does not rely on the license; however, the legal implications are
uncertain. There is no assurance that this 2002 dispute with USFRF will not
recur.
11
------
Legal Action Against Former Joint Venture Partner
-------------------------------------------------------
On November 3, 2005, the Company and Globe Med Tech, Inc. entered into a
definitive joint venture agreement to patent, develop, manufacture, market and
distribute safety needle products throughout the world. In connection with the
agreement, the Company issued restricted shares of its common stock, valued at
$625,066, to Globe. Subsequent to December 31, 2006, the Company ended the joint
venture and cancelled the shares common stock and options that were issued to
Globe pursuant to the agreement. On March 1, 2007, the Company filed a lawsuit
in the District Court of Tulsa County, Oklahoma against Globe Med Tech, Inc. to
rescind, terminate and seek monetary damages for the non-fulfillment and breach
of the joint venture agreement entered into November 3, 2005 and other related
agreements, in addition to an accounting of expenditures of funds under the
terms and provisions of the agreements. On May 11, 2007, a partial default
judgment against Globe was granted by the District Court of Harris County,
Texas. The partial default judgment as to liability only was granted with
respect to the Company's causes of action against Globe for breach of contract,
conversion and common law fraud with respect to the Company's Original Petition
and Application for Temporary and Permanent Injunctions against Globe on January
30, 2007. On August 13, 2007, the Company was granted a final default judgment
for permanent injunctive relief and for damages in the amount of $14,029,000
against Globe. Globe has appealed the judgment. On November 23, 2007, the Court
signed an order granting Globe's Motion for New Trial and setting aside the
Final Default Judgment entered in favor of the Company on August 13, 2007.
NOTE 5 - PREFERRED STOCK AND COMMON STOCK TRANSACTIONS
SERIES 2006 PREFERRED STOCK
The Company has authorized 5,000,000 shares of its Series 2006 preferred
stock, of which 1,000,000 shares are outstanding. All 1,000,000 outstanding
shares of Series 2006 preferred stock are owned by Rondald L. Wheet, our
Chairman, President and CEO. Because each share of Series 2006 preferred stock
is entitled to 125 votes per share, Mr. Wheet has voting control of the Company
with votes representing 125,000,000 common shares.
Voting Rights: A Series 2006 preferred stock holder is entitled to 125
votes for each share of common stock into which his Series 2006 Preferred Stock
is then convertible (presently on a one for one basis), voting together with our
common stock as a single class. Cumulative voting is not permitted. Upon
conversion of each Series 2006 preferred share, each share of common stock
issued will be entitled to only one (1) vote per common share.
A Series 2006 preferred stock holder is entitled to receive, ratably,
dividends when, as and if declared by the board of directors out of legally
available funds to pay dividends. If any dividend or other distributions are
declared on our common stock, then a dividend or other distribution must also be
declared on the outstanding Series 2006 preferred stock at the same time and on
the same terms and conditions, so that each holder of Series 2006 preferred
stock will receive the same dividend or distribution such holder would have
received if the holder had converted his Series 2006 Preferred stock as of the
record date for determining stockholders entitled to receive such dividend or
distribution.
Liquidation Preference: In the event of the liquidation, dissolution or
winding up, a Series 2006 preferred stock is entitled to receive a liquidation
preference of $0.001 for each share of Series 2006 preferred stock held prior to
payment being made to any junior stock.
Conversion: A Series 2006 preferred stock holder may convert one (1) share
of preferred stock into one (1) share of common stock.
Preemption: A Series 2006 Preferred stock holder has no preemptive rights
and is not subject to further calls or assessments.
Redemption: There are no redemption or sinking fund provisions applicable
to the Series 2006 Preferred stock.
12
BLANK CHECK PREFERRED STOCK
The Company's Articles of Incorporation authorize its board of directors to
establish one or more additional series of preferred stock and to determine,
with respect to any such series of preferred stock, its terms and rights,
including: the designation of each series; the voting powers, if any, associated
with each such series whether dividends, if any, will be cumulative or
noncumulative and the dividend rate of each series; the redemption rights and
price or prices, if any, for shares of each series; and preferences and other
special rights, if any, of shares of each series in the event of any
liquidation, dissolution, or distribution of the Company's assets.
COMMON STOCK TRANSACTIONS FOR THE NINE MONTHS ENDED SEPTEMBER 30, 2007
On January 18, 2007, the Company's name changed from Maxxon, Inc. to
Revolutions Medical Corporation and the Company's common stock was reverse split
on a 20 to 1 basis which changed the number of outstanding shares of common
stock from 145,560,798 to 7,272,972. The number of authorized shares of common
stock was not affected by the reverse stock split and remains at 250,000,000
shares.
During the three months ended March 31, 2007, the Company issued 250,000
shares of its common stock for $58,500 in cash. The Company issued 25,000 shares
of its common stock for legal services valued at $12,500 and 500,000 shares of
its common stock for consulting services valued at $200,000. The Company also
issued 8,273,788 shares of its common stock valued at $3,309,515 for Clear Image
Acquisition Corp. (See Note 3- Acquisition of Clear Image Acquisition Corp). The
shares were valued based on the market price of the Company's common stock at
the date of each transaction.
During the three months ended June 30, 2007, the Company issued 371,000
shares of its restricted common stock for $185,500 in cash.
During the three months ended September 30, 2007, the Company issued
224,000 shares of its restricted common stock for $56,000 in cash. The Company
issued 300,000 shares for consulting services valued at $102,500 and 400,000
shares for color MRI research and development valued at $75,000. During the
quarter ended September 30, 2007, the Company issued 345,662 shares of common
stock upon the exercise of a warrant. The exercise price of $6,913 was paid by
reducing the principal balance of the promissory note payable by the Company to
the warrantholder.
NOTE 6 - STOCK OPTIONS AND WARRANTS OUTSTANDING
During the nine months ended September 30, 2007, no options or warrants
were granted. The options and warrants outstanding at September 30, 2007 were
"out of the money", meaning their exercise price was greater than the market
price of the Company's common stock. The following tables summarize information
about the stock options and warrants outstanding at September 30, 2007:
WEIGHTED
AVERAGE
OPTIONS WARRANTS TOTAL EXERCISE PRICE
-------------------------------------------------------
Balance at December 31, 2006 2,200,000 9,063,239 11,263,239 $ 0.250
Effect of Reverse Split (1 for 20) (2,090,000) (8,610,077) (10,700,077)
Granted 0 0 0
Exercised 0 (345,662) (345,662)
Expired/Forfeited 0 0 0
--------------------------------------
BALANCE AT SEPTEMBER 30, 2007 110,000 107,500 217,500 $ 1.88
======================================
13
OPTIONS & WARRANTS OUTSTANDING EXERCISABLE
---------------------------------------------- -------------------------
Weighted
Number Average Number Weighted
Outstanding at Remaining Weighted Exercisable at Average
September 30, Contractual Average Exercise September 30, Exercise
Range of Exercise Price 2007 Life Price 2007 Price
---------------------------------------------------------------------------------------------------
OPTIONS
1.00 55,000 5.34 $ 1.00 55,000 $ 1.00
10.00 55,000 2.25 $ 10.00 39,000 $ 10.00
-------------- --------------
110,000 94,000
-------------- --------------
WARRANTS
5.00 107,500 0.33 years $ 5.00 107,500 $ 5.00
-------------- ---------------
217,500 201,500
-------------- ---------------
NOTE 7 - RELATED PARTY TRANSACTIONS
In connection with the acquisition of Clear Image Acquisition Corp. by
RevMed, Ron Wheet, CEO and Director, received 2,286,000 shares of restricted
RevMed common stock, Dr. Beahm, a Director, received 1,599,125 shares of
restricted RevMed common stock, and Mr. O'Brien, a Director, received 1,645,625
shares of restricted RevMed common stock. Mr. Wheet and Mr. O'Brien were
directors and shareholders and Dr. Beahm was a shareholder of Clear Image
Acquisition Corp. prior to its acquisition by the Company.
During the three months ended September 30, 2007, the Company accrued
$45,000 of salary payments due to Tom O'Brien, a director, for his service as
president of Clear Image, Inc. Mr. O'Brien's monthly salary is $15,000.
14
ITEM 2. PLAN OF OPERATION
SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS
The following discussion should be read in conjunction with our financial
statements and the notes thereto included elsewhere in this Form 10-QSB. This
Form 10-QSB contains forward-looking statements regarding the plans and
objectives of management for future operations. This information may involve
known and unknown risks, uncertainties and other factors which may cause our
actual results, performance or achievements to be materially different from
future results, performance or achievements expressed or implied by any
forward-looking statements. Forward-looking statements, which involve
assumptions and describe our future plans, strategies and expectations, are
generally identifiable by use of the words "may," "will,""should," "expect,"
"anticipate," "estimate," "believe," "intend" or "project" or the negative of
these words or other variations on these words or comparable terminology. These
forward-looking statements are based on assumptions that may be incorrect, and
we cannot assure you that these projections included in these forward-looking
statements will come to pass. Our actual results could differ materially from
those expressed or implied by the forward-looking statements as a result of
various factors. See "RISK FACTORS."
Since 1997, we have been working to design, develop and commercialize
retractable safety needle devices. Our present product development effort is
focused on the RevVac retractable safety syringe, which is designed specifically
to reduce accidental needlestick injuries. On February 6, 2007, the Company
announced an agreement with Strategic Product Development, Inc. ("SPD") to
provide FDA regulatory compliance, manufacturing management capabilities and
ongoing product development services. On March 5, 2007, the Company announced
that SON Medical, a privately held contract regulatory and testing consulting
firm located in the Boston area, was chosen to conduct lab testing for the
Company's RevVac retractable safety syringe. The Company is presently seeking
the funds necessary to commence and complete the lab testing, the results of
which will then be used as part of the Company's planned 510K submission to the
FDA. There is no assurance that sufficient funds will be raised on a timely
basis or at all or that the planned 510K submission to the FDA will be completed
or approved by the FDA. See "RISK FACTORS."
On March 26, 2007, the Company completed the acquisition of the sole asset
of Clear Image Acquisition Corporation ("Acquisition Corp") pursuant to the Plan
and Agreement of Reorganization of January 26, 2007. See Note 3. "Acquisition of
Clear Image Acquisition Corp" to the interim consolidated financial statements.
Clear Image, Inc. was organized as an Oklahoma corporation under the name
"Image Analysis, Inc." on October 6, 1998. On May 15, 2003 it changed its name
to Clear Image, Inc.
Clear Image is a development stage company which has developed certain
proprietary technology and patent pending for (i) differential coloring, by
series, of MRI scans and (ii) auto-registration of the scan images. As a private
company, however, faced with the substantial competition of the leaders in the
field of MRI technology, Clear Image has had difficulty obtaining the necessary
working capital to complete the development of commercial components of its
technology. The Company, in acquiring control of Clear Image, believes that it
can provide sufficient working capital to complete commercialization of certain
aspects of Clear Image's technology to the point of supporting some licensing or
joint venture relationship financially adequate to permit Clear Image to
complete the development of the remaining aspects of its technology. There is no
assurance that the Company will be successful in raising the working capital
necessary to complete the technology, that the technology will be commercially
viable, approved by the FDA, or that the Color MRI technology will be accepted
in the marketplace. See "RISK FACTORS".
Since its formation, Clear Image's principal business has been to develop
and commercialize color MRI technology - "MRI" referring to "Magnetic Resonance
Imaging" equipment. Magnetic
15
Resonance Imaging is a widely used imaging system that safely creates many
different and detailed views of selected portions of the internal anatomy. A MRI
scanner is a large tunnel- shaped machine that will accommodate an adult lying
down. Within the MRI scanner is a large magnet which directs harmless radio
signals around sections of the body. When these signals pass through the body,
they resonate; that is, release a signal. The released signals are picked up by
a receiver inside the MRI scanner and then sent to a computer. The computer
analyzes the signals and converts them to a visual image that is displayed on a
viewing monitor and then printed on special film. The images produced by the
scanner are gray-scale images similar to an x-ray. These gray-scale images can
be difficult and time consuming to "read". A radiologist "reads" these images on
film by comparing the different scans of each tissue slice, sometimes evaluating
one hundred to three hundred individual gray images to obtain a diagnosis. The
successful diagnosis of a condition, using MRI, depends not only on the ability
of the radiologist to detect the subtle differences in shades of gray, but also
the radiologist's ability to compare visually the vast number of images.
Clear Image is engaged in the development of technology which can
segmentate and reference MRI images. By "segmenting" an image, the Company's
technology will let the user select a part of the image (bone, fluid, tissue)
and render that selection in 3 dimensions. Essentially, different components of
an image are given different colors and the user can choose the color or colors
to be studied, thus eliminating those portions colored with the colors being
discarded. By "referencing" the image to a data base, the user can obtain
similar, identified images to aid the user in interpretation of the image being
studied. Although the current stage of the Company's technology uses color MRI
technology, the Company believes that it is sufficiently separate from the
technology licensed to it by USFRF to permit it to proceed regardless of the
status of the license from USFRF (see "RISK FACTORS" RISKS RELATED TO CLEAR
IMAGE AND THE COLOR MRI TECHNOLOGY.). In addition, Clear Image owns four (4)
separate patent applications, filed June 15, 2006 which were assigned over by
Clear Image's consultant, Richard Theriault. Clear Image, Inc.'s President is
Thomas O'Brien, who is also a director of the Company. Mr. O'Brien, age 60, has
more than twenty years of general management experience in the medical device
field. He has special expertise in domestic and international sales, marketing
and distribution of high technology medical systems and services, having held
executive positions with companies such as Pfizer, Toshiba and Johnson &
Johnson-owned Technicare Corporation. Mr. O'Brien also serves as a director of
Clear Image. Rondald Wheet, President and a director of the Company, age 41, is
Vice-President and Secretary of Clear Image and serves as a director.
Because our planned products are in various stages of development, we have
no revenue. Our efforts to date have been funded almost entirely through sales
of our common stock. We require substantial additional capital to complete the
development of, to obtain approvals for and to begin commercializing the RevVac
retractable safety syringe and the Clear Image color MRI software. There is no
assurance that such capital will be available to us when needed, on acceptable
terms, or at all. There is no assurance that our planned products will be
commercially viable. Our present and future collaborative partners may require
significant amounts of time to complete product design, develop manufacturing
processes and/or to obtain specialized equipment, if any is required. Our
planned products will also require FDA approval before they can be sold in the
United States and similar approvals from foreign countries where our products
may be marketed. Obtaining government approval, whether in the U.S. or
elsewhere, is a time-consuming and costly process with no guarantee of approval.
It could be years, if ever, before our planned products are sold in the United
States or anywhere else in the world. Our business is subject to numerous risks
and uncertainties that are more fully described in "RISK FACTORS."
STATUS OF PLANNED PRODUCTS
The Company has been working towards raising the $160,000 necessary to
complete the 510(k) FDA submission for its RevVac safety syringe. Rev Med hired
and announced that Strategic Product Development ("SPD") will handle the 510(k)
submittal. SPD plans to use Son Medical for the outside lab testing. This
planned 510(k) submission will include 3cc, 5cc, and 10cc sizes of the RevVac
safety syringe. This syringe uses vacuum technology to suck the needle into the
plunger after use. The syringe cannot be reused once the vacuum is activated.
Rev Med believes its safety syringe has many advantages over its competition
including price, ease of use, and safety. It should help reduce accidental
needle stick injuries and also aid in reducing the spread of contagious
diseases. You may view a video of the syringe in use on
16
are website at www.revolutionsmedical.com. The Company also believes that
--------------------------
with the help of government regulation initiatives, individual state laws, and
the importance of world health concerns, the safety syringe market will continue
to have substantial growth into the foreseeable future.
When an MRI is taken, the images are sent to a pictural archival computer
systems ("PACS"), which displays the images for a radiologist to view. RevMed
has hired and announced Strategic Product Development ("SPD") to be its project
design consultant for the purpose of implementing the color MRI software
(including 3-D and automatic segmentation) on a PACS delivery platform and has
given approval for SPD to enter into a binding letter of intent with Cambridge
Medical Information Corporation ("CMIC") to use their PACS delivery platform,
known as zPACS, which is an advanced fully functional PACS system currently in
operation at several major international hospitals. The estimated cost of this
project is $400,000, which RevMed is working to raise. A video of the MRI
software can be found on the Company's website.
LIQUIDITY, CAPITAL RESOURCES AND CASH REQUIREMENTS
The following discussion of our cash requirements and liquidity and
resources contains forward-looking statements that are based upon current
expectations. These forward-looking statements fall within the meaning of the
federal securities laws that relate to future events or our future financial
performance. In some cases, you can identify forward-looking statements by
terminology such as "may," "will," "expect," "plan," "anticipate," "believe,"
"estimate," "intend," "potential" or "continue" or the negative of these terms
or other comparable terminology. Forward-looking statements involve risks and
uncertainties. Our actual results and the timing of events could differ
materially from those anticipated in our forward-looking statements as a result
of many factors; including, our ability to obtain financing when needed. A
discussion of these risks and uncertainties can be found under the heading "RISK
FACTORS" and elsewhere in this report. We cannot guarantee future results,
levels of activity, performance or achievements. We assume no obligation to
update any of the forward-looking statements after the date of this report or to
conform these forward-looking statements to actual results.
CASH REQUIREMENTS
------------------
As of September 30, 2007, the Company had minimal cash. The Company has not had
and continues to not have sufficient cash to pay present obligations as they
become due. The Company is searching for additional financing to generate the
liquidity necessary to continue its operations. The Company requires an
estimated $3.8 million in capital over the next twelve months; $1.0 million of
which is for costs to finalize product development and to begin beta testing for
the color MRI technology, $1.0 million of which is for safety syringe FDA
approval and if approval is obtained, to set up manufacturing, and $1.0 million
for working capital to cover expenses, such as rent, telephone, auditing,
financial reporting requirements, and administrative expenses, including
salaries; and $800,000 for outstanding liabilities. Due to current economic
conditions and the Company's risks and uncertainties, there is no assurance that
we will be able to raise any additional capital on acceptable terms, if at all.
Because of these uncertainties, the auditors have expressed substantial doubt
about our ability to continue as a going concern. We do not presently have any
investment banking or advisory agreements in place and due to the Company's
risks and uncertainties, there is no assurance that we will be successful in
establishing any such agreements. Even if such agreements are established,
there is no assurance that they will result in any funding. If we obtain
additional funds by selling any of our equity securities or by issuing common
stock to pay current or future obligations, the percentage ownership of our
stockholders will be reduced, stockholders may experience additional dilution,
or the equity securities may have rights preferences or privileges senior to the
common stock. If adequate funds are not available to us on satisfactory terms,
we may be required to cease operating or otherwise modify our business strategy.
See "RISK FACTORS."
LIQUIDITY AND CAPITAL RESOURCES
----------------------------------
Because we do not currently generate any cash from operations and have no credit
facilities available, our only means of funding is through the sale of our
common stock. There are 250,000,000 shares of common stock authorized, of which
17,962,422 shares were issued and outstanding as of September 30, 2007. If we
obtain additional funds by selling any of our equity securities or by issuing
common stock to pay current or future obligations, the percentage ownership of
our stockholders will be
17
reduced, stockholders may experience additional dilution, or the equity
securities may have rights preferences or privileges senior to the common stock.
If adequate funds are not available to us when needed on satisfactory terms, we
may be required to cease operating or otherwise modify our business strategy.
RISK FACTORS
You should carefully consider the risks described below, together with all
of the other information included in this report, in considering our business
and prospects. The risks and uncertainties described below are not the only ones
facing the Company. Additional risks and uncertainties not presently known to us
or that we currently deem immaterial also may impair our business operations.
The occurrence of any of the following risks could harm our business, financial
condition or results of operations.
BECAUSE WE HAVE NO PRODUCTS FOR SALE, WE DO NOT GENERATE REVENUE AND DO NOT HAVE
OTHER RESOURCES TO FUND OPERATIONS; THESE CONDITIONS RAISE SUBSTANTIAL DOUBT
ABOUT OUR ABILITY TO CONTINUE AS A GOING CONCERN
Because the Company's planned products are in the development stage, the
Company has no revenue, earnings or cash flow to be self-sustaining. It could
be several more years before the Company can expect to have sales. The Company's
independent accountants have stated, in their opinion to the audited financial
statements for the period ended December 31, 2006, "the Company is a development
stage company with insufficient revenues to fund development and operating
expenses. The Company also has insufficient cash to fund obligations as they
become due. These conditions raise substantial doubt about its ability to
continue as a going concern." Our failure to obtain the funding necessary to
continue our activities will have a material adverse effect on our business,
financial condition, and on the price of our common stock.
WE REQUIRE SUBSTANTIAL ADDITIONAL CAPITAL TO CONTINUE DEVELOPING OUR PLANNED
PRODUCTS. WE MAY HAVE DIFFICULTY RAISING CAPITAL WHEN WE NEED IT, OR AT ALL.
RAISING SUCH CAPITAL MAY DILUTE STOCKHOLDER VALUE. IF WE ARE UNABLE TO RAISE
CAPITAL, WE MAY BE REQUIRED TO LIMIT OR CEASE OUR OPERATIONS, OR OTHERWISE
MODIFY OUR BUSINESS STRATEGY.
The Company requires an estimated $3.8 million in capital over the next
twelve months; $1.0 million of which is for costs to finalize product
development and to begin beta testing for the color MRI technology, $1.0 million
of which is for safety syringe FDA approval and if approval is obtained, to set
up manufacturing, and $1.0 million for working capital to cover expenses, such
as rent, telephone, auditing, financial reporting requirements, and
administrative expenses, including salaries; and $800,000 for outstanding
liabilities. There is no assurance, however, that we will be successful in
raising the funds when needed, on acceptable terms, or at all. There is no
assurance that development of our planned products will not require a
significant amount of time to commence or to complete and there is no assurance
that the costs will not be significantly greater than current estimates.
We will require substantial additional capital thereafter to commercialize
our planned products. Our commercialization efforts will include, but are not
limited to, entering into agreements with third parties for manufacturing
(including building molds, designing manufacturing processes and obtaining
specialized equipment for our retractable safety syringe), marketing and
distribution, and obtaining FDA and/or other regulatory approvals, all of which
are necessary before our planned products can be sold and which may take a
significant amount of time, if not years, to complete.
Due to the current economic conditions and the risks and uncertainties
surrounding our Company, we may not be able to secure additional financing on
acceptable terms, if at all. If we obtain additional funds by selling any of our
equity securities, the percentage ownership of our stockholders will be reduced,
stockholders may experience substantial dilution, the price of our common stock
may decline, or the equity securities issued may have rights, preferences or
privileges senior to the common stock. To the extent that services are paid for
with common stock or stock options that are exercised and sold into the market,
the market price of our common stock could decline and your ownership interest
will be diluted. If adequate
18
funds are not available to us on satisfactory terms, we will be required to
limit or cease our operations, or otherwise modify our business strategy, which
could materially harm our future business prospects.
IF WE DO NOT OBTAIN FDA APPROVAL FOR OUR PLANNED PRODUCTS THEN OUR FUTURE
PROSPECTS WILL BE HARMED.
Our planned products will require FDA approval before they can be sold in
the United States. We have not yet applied for or received FDA approval for
these planned products. There is no assurance that our planned products will
qualify for the FDA's 510(k) pre-market notification approval process, which is
less rigorous than a PMA.
The FDA approval process can take years and be expensive, especially if a
PMA is required. A PMA is much more rigorous and expensive to complete than a
510(k). In addition, the Medical Device User Fee and Modernization Act, enacted
in 2002, now allows the FDA to assess and collect user fees for 510(k) and for
PMA applications. Fees for fiscal year 2007 for small businesses (companies with
less than $100 million in sales) range from $3,326 for Section 510(k) pre-market
notifications to $107,008 for PMAs, although fee reductions and waivers are
available for companies qualifying as small businesses. There is no assurance
that we will qualify for fee reductions or waivers or that we will have the
funds necessary to apply for or obtain FDA approval for our planned products.
The FDA approval process could take a significant amount of time, if not years,
to complete and there is no assurance that FDA approval will ever be obtained.
If FDA approval is not obtained, then we will not be able to sell our products
in the United States, which would have a material adverse effect on our future
business prospects.
RISKS RELATED TO CLEAR IMAGE AND THE COLOR MRI TECHNOLOGY.
There are numerous risks surrounding Clear Image, including but not limited
to the following. Although Clear Image was organized in October, 1998 and has
been in existence for approximately eight years, it has a limited operating
history and remains a development stage company. Clear Image has suffered due to
under-capitalization and lack of working capital and its auditors have stated in
their opinions that, since the corporation is a development stage company with
insufficient revenues to fund development and operating expenses, there is
"substantial doubt about its ability to continue as a going concern". Clear
Image has had annual losses since its inception and will continue to incur
losses until it completes product development, of which there is no assurance.
Clear Image acquired an exclusive license relating to the color MRI technology
from the University of South Florida Research Foundation ("USFRF"). The license
required that the licensee use its "best efforts" to develop the technology,
although that term is undefined. On August 1, 2002 USFRF notified Clear Image
that the license was terminated because Clear Image had not used its "best
efforts". Clear Image disputes that and believes that USFRF cannot terminate the
license. The dispute is unresolved; Clear Image has withheld the royalty
payments due, although they have been accrued as liabilities. At this point in
time, Clear Image believes that its products do not rely on the license;
however, the legal implications are uncertain and termination of the license
could materially adversely affect the business and revenues of Clear Image.
Other companies are working on similar technologies. How such technologies, if
completed, will compare to the Company's, what the comparative pricing and terms
of use will be, and what the relative market acceptances will be, is uncertain.
It is highly probable that Clear Image will need to enter into one or more joint
ventures or similar arrangement with a company in the MRI field which can offer
both financial and marketing support. Whether such an arrangement can be
developed is uncertain. It is most likely that Clear Image will need to enter
into licensing arrangements, for sub- portions of its technology as those are
ready for commercialization, but whether such licenses will be taken, and the
terms of them, are uncertainties. Other risks related to Clear Image may be
discussed in "RISK FACTORS" contained elsewhere in this report.
OUR PLANNED PRODUCTS MAY PROVE TO BE TOO EXPENSIVE TO MANUFACTURE AND MARKET
SUCCESSFULLY, WHICH WOULD HARM OUR FUTURE PROSPECTS.
Our planned products may prove to be too expensive to manufacture and
market successfully. Market acceptance of our products will depend in large
part upon our ability to demonstrate the operational and safety advantages of
our product as well as the cost effectiveness of our product compared to both
standard and other safety needle products. If we are unable to produce products
that are competitive with standard products, we will not be able to sell our
products. This could have a material adverse effect on our operations.
19
IF WE ARE NOT ABLE TO ENTER INTO MANUFACTURING ARRANGEMENTS FOR OUR PLANNED
PRODUCTS THEN OUR FUTURE PROSPECTS WILL BE HARMED.
We have no experience in establishing, supervising or conducting commercial
manufacturing. We plan to rely on third party contractors to manufacture our
planned products. We may never be successful in establishing manufacturing
capabilities for our planned products. Relying on third parties may expose us
to the risk of not being able to directly oversee the manufacturing process,
which may adversely affect the production and quality of our planned products.
Furthermore, these third-party contractors, whether foreign or domestic, may
experience regulatory compliance difficulty, mechanical shutdowns, employee
strikes, or other unforeseeable acts that may delay or prevent production. We
may not be able to manufacture our retractable safety needle in sufficient
quantities at an acceptable cost, or at all, which could materially adversely
affect our future prospects.
IF WE ARE NOT ABLE TO ESTABLISH MARKETING, SALES AND DISTRIBUTION ARRANGEMENTS
FOR OUR SAFETY NEEDLE DEVICES THEN OUR FUTURE PROSPECTS WILL BE HARMED.
We must establish marketing, sales and distribution capabilities before our
planned products can be sold. We have no experience in establishing such
capabilities. Until we have established manufacturing arrangements, we do not
plan to devote any meaningful time or resources to establishing marketing sales
or distribution capabilities. We intend to enter into agreements with third
parties in the future to market, sell and distribute our planned products.
However, we may be unable to establish or maintain third-party relationships on
a commercially reasonable basis, if at all. In addition, these third parties
may have similar or more established relationships with our competitors.
If we do not enter into relationships with third parties to market, sell
and distribute our planned products, we will need to develop our own such
capabilities. We have no experience in developing, training or managing a sales
force. If we choose to establish a direct sales force, we will incur substantial
additional expenses in developing, training and managing such an organization.
We may not be able to build a sales force on a cost effective basis or at all.
Any such direct marketing and sales efforts may prove to be unsuccessful. In
addition, we will compete with many other companies that currently have
extensive and well-funded marketing and sales operations. Our marketing and
sales efforts may be unable to compete against these other companies. We may be
unable to establish a sufficient sales and marketing organization on a timely
basis, if at all. We may be unable to engage qualified distributors. Even if
engaged, they may fail to satisfy financial or contractual obligations to us.
They may fail to adequately market our products. They may cease operations with
little or no notice to us or they may offer, design, manufacture or promote
competing products.
IF WE ARE UNABLE TO PROTECT OUR PLANNED PRODUCTS, OR TO AVOID INFRINGING ON THE
RIGHTS OF OTHERS, OUR ABILITY TO COMPETE WILL BE IMPAIRED.
Patent Applications for the Company's Retractable Safety Needle Devices
-------------------------------------------------------------------------------
Although the Company owns a patent published January 2006 and a patent
application was filed by the Globe/RevMed Joint Venture in September 2005 for
the RevVac safety syringe, there is no assurance that a patent will issue, that
further patent protections will be sought or secured, or that any present
patents will provide the Company with protections. The lack of patent
protection, whether foreign or domestic, could allow competitors to copy and
sell products based on our designs without paying us a royalty, which could have
a material adverse effect on the Company's business.
Clear ImagePatent Applications
--------------------------------
Clear Image owns four (4) separate patent applications, filed June 15,
2006, which were assigned over by Clear Image's consultant, Richard Theriault.
There is no assurance that any patent protections will be secured. The lack of
patent protection, whether foreign or domestic, could allow competitors to copy
and sell products based on our designs without paying us a royalty, which could
have a material adverse effect on the Company's business. See also "RISKS
RELATED TO CLEAR IMAGE AND COLOR MRI TECHNOLOGY."
20
It is most likely that Clear Image will need to enter into licensing
arrangements, for sub- portions of its technology as those are ready for
commercialization, but whether such licenses will be taken, and the terms of
them, are uncertainties.
General Risks Related to Intellectual Property
----------------------------------------------
The Company does not yet have patent protection for some of its planned
products and there is no assurance that such patent protections will be sought
or secured. We do not have foreign patent protection for any of our planned
products. There is no assurance that we will have the financial resources to
apply for U.S. or foreign patent protections, that such U.S. or foreign patent
protections will be available to us or if available, that they will result in
any meaningful protection for our planned products. Even if we are successful
in obtaining patent protection, whether in the U.S. or abroad, it may not afford
protection against competitors with similar technology. Furthermore, others may
independently develop similar technologies or duplicate our technology.
Our commercial success depends in part on our avoiding the infringement of
patents and proprietary rights of other parties and developing and maintaining a
proprietary position with regard to our own technologies and products. We cannot
predict with certainty whether we will be able to enforce our patents. We may
lose part or all of patents we may receive in the future as a result of
challenges by competitors. Patents that may be issued, or publications or other
actions could block our ability to obtain patents or to operate as we would
like. Others may develop similar technologies or duplicate technologies that we
have developed or claim that we are infringing their patents.
Although we rely on trade secrets to protect our technology and require certain
parties to execute nondisclosure and non-competition agreements, these
agreements could be breached, and our remedies for breach may be inadequate. In
addition, our trade secrets may otherwise become known or independently
discovered by our competitors. If we lose any of our trade secrets, our
business and ability to compete could be harmed.
Despite our efforts to protect our proprietary rights, we face the risks that
pending patent applications may not be issued, that patents issued to us may be
challenged, invalidated or circumvented; that unauthorized parties may obtain
and use information that we regard as proprietary; that intellectual property
laws may not protect our intellectual property; and effective protection of
intellectual property rights may be limited or unavailable in China, where we
plan to manufacture our retractable safety syringe, or in other foreign
countries where we may manufacture and/or sell our retractable safety needle
devices. The lack of adequate remedies and impartiality under any foreign legal
system may adversely impact our ability to protect our intellectual property.
We may become involved in litigation or interference proceedings declared by the
U.S. Patent and Trademark Office, or oppositions or other intellectual property
proceedings outside of the United States. If any of our competitors have filed
patent applications or obtained patents that claim inventions that we also
claim, we may have to participate in an interference proceeding to determine who
has the right to a patent for these inventions in the United States. If a
litigation or interference proceeding is initiated, we may have to spend
significant amounts of time and money to defend our intellectual property rights
or to defend against infringement claims of others. Litigation or interference
proceedings could divert our management's time and effort. Even unsuccessful
claims against us could result in significant legal fees and other expenses,
diversion of management time and disruption in our business. Any of these events
could harm our ability to compete and adversely affect our business.
An adverse ruling arising out of any intellectual property dispute could
invalidate or diminish our intellectual property position. An adverse ruling
could also subject us to significant liability for damages, prevent us from
using processes or products, or require us to license intellectual property from
third parties. Costs associated with licensing arrangements entered into to
resolve litigation or an interference proceeding may be substantial and could
include ongoing royalties. We may not be able to obtain any necessary licenses
on satisfactory terms or at all.
21
WE MUST OBTAIN REGULATORY APPROVALS IN FOREIGN JURISDICTIONS TO MARKET OUR
PRODUCTS ABROAD
Whether or not FDA approval has been obtained, we must secure approval for
our planned products by the comparable non-U.S. regulatory authorities prior to
the commencement of marketing of the product in a foreign country. The process
of obtaining these approvals will be time consuming and costly. The approval
process varies from country to country and the time needed to secure additional
approvals may be longer than that required for FDA approval. These applications
may require the completion of pre-clinical and clinical studies and disclosure
of information relating to manufacturing and controls. Unanticipated changes in
existing regulations or the adoption of new regulations could affect the
manufacture and marketing of our products.
IF WE ARE NOT ABLE TO COMPETE SUCCESSFULLY, THEN OUR BUSINESS PROSPECTS WILL BE
MATERIALLY ADVERSELY AFFECTED.
Our retractable safety syringe, if developed, approved and commercialized,
will compete in the United States and abroad with the safety needle devices and
standard non-safety needle devices manufactured and distributed by companies
such as Becton Dickinson, Tyco International, Inc. (Kendall Healthcare Products
Company), B. Braun, Terumo Medical Corporation of Japan, Med-Hut, Inc. and
Johnson & Johnson. Developers of safety needle devices against which we could
compete include Med-Design Corp., New Medical Technologies, Retractable
Technologies, Inc., Univec, Inc. and Specialized Health Products International,
Inc. Our Color MRI technology, if developed, approved and commercialized, will
compete in the United States and abroad against technologies manufactured and
distributed by companies such as GE and Siemens. Most of our competitors are
substantially larger and better financed than we are and have more experience in
developing medical devices and/or software than we do. These competitors may
use their substantial resources to improve their current products or to develop
additional products that may compete more effectively with our planned products,
or may render our planned products obsolete. In addition, new competitors may
develop products that compete with our planned products, or new technologies may
arise that could significantly affect the demand for our planned products. Even
if we are successful in bringing our planned products to market, there is no
assurance that we can successfully compete. We cannot predict the development of
future competitive products or companies.
In the U.S., the vast majority of decisions relating to the contracting for
and purchasing of medical supplies are made by the representatives of group
purchasing organizations ("GPOs") rather than the end-users of the product
(nurses, doctors, and testing personnel). GPOs and manufacturers often enter
into long-term exclusive contracts which can prohibit entry in the marketplace
by competitors. In the needle and syringe market, the market share leader, BD,
has utilized, among other things, long-term exclusive contracts which have
restricted entry into the market by most of our competitors. We may not be
successful in obtaining any contracts with GPO's, which would severely limit our
product's marketability in the U.S. We will be materially adversely affected if
we are unable to compete successfully.
BECAUSE WE DEPEND ON A SINGLE TECHNOLOGY, WE ARE VULNERABLE TO SUPERIOR
COMPETING PRODUCTS OR NEW TECHNOLOGIES THAT COULD MAKE OUR RETRACTABLE SAFETY
NEEDLE DEVICES OR OUR COLOR MRI TECHNOLOGY OBSOLETE
Because we have a narrow focus on a particular product and technology (e.g.
retractable safety syringe and color MRI technology), we are vulnerable to the
development of superior competing products and to changes in technology which
could eliminate or reduce the need for our products. If a superior technology
is created, the demand for our product could greatly diminish causing our
commercialization efforts and future prospects to be materially adversely
affected.
BECAUSE WE RELY ON THIRD PARTIES FOR RESEARCH AND DEVELOPMENT ACTIVITIES
NECESSARY TO COMMERCIALIZE OUR PRODUCT, WE HAVE LESS DIRECT CONTROL OVER THOSE
ACTIVITIES. THIS COULD HAVE A MATERIALLY ADVERSE EFFECT ON OUR FUTURE
PROSPECTS.
We do not maintain our own laboratory and we do not employ our own
researchers. We have contracted with third parties in the past to conduct
research, development and testing activities and we expect to continue to do so
in the future. Because we rely on such third parties, we have less direct
control over those activities and cannot assure you that the research will be
done properly or in a timely manner, or that the results will be reproducible.
Our inability to conduct research and development may delay or
22
impair our ability to develop, obtain approval for and commercialize our
retractable safety syringe. The cost and time to establish or locate an
alternative research and development facility to develop our technology could
have a materially adverse effect on our future prospects.
YOUR OWNERSHIP INTEREST MAY BE DILUTED AND THE VALUE OF THE SHARES OF OUR COMMON
STOCK MAY DECLINE BY THE EXERCISE OF STOCK OPTIONS AND WARRANTS WE HAVE GRANTED
OR MAY GRANT IN THE FUTURE AND BY THE COMMON STOCK WE HAVE ISSUED OR WILL ISSUE
IN THE FUTURE.
On April 24, 2007, the Company registered 20,000,000 shares of its common
stock reserved under its 2007 Stock Option Plan. The Company plans to grant a
substantial portion of these reserved shares to its officers and directors. If
and when, and to the extent that, those shares are sold into the market, they
could cause the market price of our common stock to decline.
As of the date of this report, we had a total of 217,500 options and
warrants outstanding, which consisted of options to purchase up to 110,000
shares of common stock at exercise prices ranging from $1.00 to $10.00 per share
(of which 94,000 were exercisable) and warrants to purchase up to 107,500 shares
of common stock at an exercise price of $5.00 per share (all of which were
exercisable). All of the options and warrants outstanding are presently "out of
the money", meaning that the exercise price in greater than the current market
price of our common stock. We may decide, however, to modify the terms and/or
exercise price of these "out of the money" options and warrants. To the extent
that the outstanding options and warrants to purchase our common stock are
exercised, your ownership interest may be diluted. If the warrants and options
are exercised and sold into the market, they could cause the market price of our
common stock to decline.
From time to time the Company has issued and plans to continue to issue
shares of its common stock to pay current and future obligations. If and when,
and to the extent that, those shares are sold into the market, they could cause
the market price of our common stock to decline.
As of September 30, 2007, the Company had 250,000,000 shares authorized and
17,962,422 shares outstanding. The authorized but unissued shares have the same
rights and privileges as the common stock presently outstanding. The unissued
authorized shares can be issued without further action of the shareholders. If
and when, and to the extent that, the unissued authorized shares are issued and
sold into the market, they could cause the market price of our common stock to
decline.
THE LOSS OF THE SERVICES OF CERTAIN THIRD PARTIES AND OUR OFFICER AND DIRECTOR
COULD HAVE A MATERIAL ADVERSE EFFECT ON OUR BUSINESS.
We are dependent upon the services of third parties related to development
and commercialization of our planned products. The loss of their services and
the inability to retain acceptable substitutes could have a material adverse
effect on our future prospects. We are also dependent upon the services of Ron
Wheet, our officer and director. The loss of his services or our inability to
retain suitable replacements could have a material adverse effect on our ability
to continue operating.
BECAUSE WE HAVE LIMITED EXPERIENCE IN THE MEDICAL DEVICE INDUSTRY AND OUR
OFFICER AND DIRECTORS HAVE OTHER BUSINESS INTERESTS, OUR BUSINESS MAY TAKE
LONGER TO DEVELOP, WHICH COULD ADVERSELY AFFECT OUR FUTURE PROSPECTS.
We have had limited experience in the medical device industry. In addition,
our officer and directors may be involved in a range of business activities that
are not related to our business. Consequently, there are potential conflicts in
the amount of time he can devote to our business. Not more than 50% of his time
will be devoted to RMCP's activities. Consequently, our business may take longer
to develop, which could adversely affect our future prospects.
IF WE CANNOT GENERATE ADEQUATE, PROFITABLE SALES OF OUR PLANNED PRODUCTS, WE
WILL NOT BE SUCCESSFUL
In order to succeed as a company, we must develop commercially viable
products and sell adequate quantities at a high enough price to generate a
profit. We may not accomplish these objectives. Even if we succeed in developing
a commercially viable product, a number of factors may affect future sales of
our product. These factors include:
23
- Whether we will be successful in obtaining FDA approval in the future;
- Whether physicians, patients and clinicians accept our product as
a viable, safe alternative to the standard medical syringe;
- Whether the cost of our product is competitive in the medical
marketplace; and
- Whether we successfully contract the manufacture and marketing of
the syringe to third parties or develop such capabilities ourselves
OUR PLANNED PRODUCTS, IF SUCCESSFULLY COMMERCIALIZED, COULD BE EXPOSED TO
SIGNIFICANT PRODUCT LIABILITY CLAIMS WHICH COULD BE TIME CONSUMING AND COSTLY TO
DEFEND, DIVERT MANAGEMENT ATTENTION AND ADVERSELY IMPACT OUR ABILITY TO OBTAIN
AND MAINTAIN INSURANCE COVERAGE, WHICH COULD JEOPARDIZE OUR LICENSE.
The testing, manufacture, marketing and sale of our planned products will
involve an inherent risk that product liability claims will be asserted against
us. We currently do not have insurance which relates to product liability, but
will seek to obtain coverage at such time as we have a product ready to sell,
although there is no assurance we will be able to obtain or to pay for such
coverage. Even if we obtain product liability insurance, it may prove inadequate
to cover claims and/or costs related to potential litigation. The costs and
availability of product liability insurance are unknown. Product liability
claims or other claims related to our planned product, regardless of their
outcome, could require us to spend significant time and money in litigation or
to pay significant settlement amounts or judgments. Any successful product
liability or other claim may prevent us from obtaining adequate liability
insurance in the future on commercially desirable or reasonable terms. In
addition, product liability coverage may cease to be available in sufficient
amounts or at an acceptable cost. Any inability to obtain sufficient insurance
coverage at an acceptable cost or otherwise to protect against potential product
liability claims could prevent or inhibit the commercialization of our planned
product. A product liability claim could also significantly harm our reputation
and delay market acceptance of our planned products.
STRINGENT, ONGOING GOVERNMENT REGULATION AND INSPECTION OF OUR PLANNED PRODUCTS
COULD LEAD TO DELAYS IN MANUFACTURE, MARKETING AND SALES
The FDA continues to review products even after they receive FDA approval.
If and when the FDA approves our planned products, manufacturing and marketing
will be subject to ongoing regulation, including compliance with current Good
Manufacturing Practices, adverse reporting requirements and the FDA's general
prohibitions against promoting products for unapproved or "off-label" uses. We
and any third party manufacturers we may use are also subject to inspection and
market surveillance by the FDA for compliance with these and other requirements.
Any enforcement action resulting from failure to comply with these requirements
could affect the manufacture and marketing of our planned products. In addition,
the FDA can withdraw a previously approved product from the market at any time,
upon receipt of newly discovered information.
HEALTHCARE REFORM AND CONTROLS ON HEALTHCARE SPENDING MAY LIMIT THE PRICE WE CAN
CHARGE FOR OUR PLANNED PRODUCTS AND THE AMOUNT WE CAN SELL
The federal government and private insurers have considered ways to change,
and have changed, the manner in which healthcare services are provided in the
United States. Potential approaches and changes in recent years include controls
on healthcare spending and the creation of large purchasing groups. In the
future, it is possible that the government may institute price controls and
limits on Medicare and Medicaid spending. These controls and limits might affect
the payments we collect from sales of our product, if and when it is
commercially available. Assuming we succeed in bringing our product to market,
uncertainties regarding future healthcare reform and private practices could
impact our ability to sell our product in large quantities at profitable
pricing.
It is quite possible that new regulations could be proposed and adopted
which could restrict marketing of our products. Although we are not presently
aware of any such pending or proposed regulations, there is no assurance that
they will not be enacted or imposed.
24
UNCERTAINTY OF THIRD-PARTY REIMBURSEMENT COULD AFFECT OUR ABILITY TO SELL OUR
PLANNED PRODUCTS AT A PROFIT
Sales of medical products largely depend on the reimbursement of patients'
medical expenses by governmental healthcare programs and private health
insurers. There is no guarantee that governmental healthcare programs or private
health insurers will cover the cost of our product, if and when it is
commercially available, or permit us to sell our product at a high enough price
to generate a profit.
OUR LIMITED OPERATING HISTORY MAKES EVALUATING OUR STOCK MORE DIFFICULT
Since inception in 1996, we have engaged primarily in research and
development, technology licensing, and raising capital. This limited history
may not be adequate to enable you to fully assess our ability to develop and
commercialize our planned products and to achieve market acceptance of our
planned products and to respond to competition.
WE HAVE A HISTORY OF LOSSES AND EXPECT FUTURE LOSSES
We have had annual losses since our inception in 1996. We expect to
continue to incur losses until we can sell enough products at prices high enough
to generate a profit. As of September 30, 2007, we had accumulated a deficit of
approximately $(18,845,730). There is no assurance that our planned products
will be commercially viable. There is no assurance that we will generate
revenue from the sale of our planned products or that we will achieve or
maintain profitable operations.
OUR STOCK PRICE IS VOLATILE AND YOUR INVESTMENT IN OUR SECURITIES COULD DECLINE
IN VALUE, RESULTING IN SUBSTANTIAL LOSSES TO YOU
The market price of our common stock, which is over the counter (National
Quotation Bureau "Pink Sheets") under the symbol "RMCP", has been, and may
continue to be, highly volatile. Factors such as announcements of product
development progress, financings, technological innovations or new products,
either by us or by our competitors or third parties, as well as market
conditions within the medical devices industry may have a significant impact on
the market price of our common stock. In general, medical device stocks tend to
be volatile even during periods of relative market stability because of the high
rates of failure and substantial funding requirements associated with medical
device companies. Market conditions and conditions of the medical device sector
could also negatively impact the price of our common stock.
BECAUSE OUR STOCK IS CONSIDERED TO BE A "PENNY STOCK", YOUR ABILITY TO SELL YOUR
STOCK MAY BE LIMITED
The Penny Stock Act of 1990 requires specific disclosure to be made
available in connection with trades in the stock of companies defined as "penny
stocks". The Securities and Exchange Commission (SEC) has adopted regulations
that generally define a penny stock to be any equity security that has a market
price of less than $5.00 per share, subject to certain exceptions. If an
exception is unavailable, the regulations require the delivery, prior to any
transaction involving a penny stock, of a disclosure schedule explaining the
penny stock market and the risk associated therewith as well as the written
consent of the purchaser of such security prior to engaging in a penny stock
transaction. The regulations on penny stock may limit the ability of the
purchasers of our securities to sell their securities in the secondary
marketplace.
ALTHOUGH WE BELIEVE THAT OUR SYSTEM OF DISCLOSURE CONTROLS AND INTERNAL CONTROLS
OVER FINANCIAL REPORTING ARE ADEQUATE, SUCH CONTROLS ARE SUBJECT TO INHERENT
LIMITATIONS.
Although we believe that our system of disclosure controls and internal
controls over financial reporting are adequate, we can not assure you that such
controls will prevent all errors or all instances of fraud. A control system, no
matter how well designed and operated, can provide only reasonable, not
absolute, assurance that the control system's objectives will be met. Further,
the design of a control system must reflect the fact that there are resource
constraints, and the benefits of controls must be considered relative to their
costs. Because of the inherent limitations in all control systems, no evaluation
of controls can provide absolute assurance that all control issues and instances
of fraud, if any, within our company will be detected. These inherent
limitations include the realities that judgments in decision-making can be
faulty, and that breakdowns can occur because of simple error or mistake.
Controls can also be circumvented by the individual acts of some persons, by
collusion of two or more people, or by management override of the controls. The
design of any system of controls is based in part upon certain
25
assumptions about the likelihood of future events, and any design may not
succeed in achieving its stated goals under all potential future conditions.
Over time, controls may become inadequate because of changes in conditions or
deterioration in the degree of compliance with policies or procedures. Because
of the inherent limitation of a cost-effective control system, misstatements due
to error or fraud may occur and not be detected.
MR. WHEET, OUR CEO AND A DIRECTOR, HAS VOTING CONTROL OF THE COMPANY AND CAN
UNILATERALLY MAKE BUSINESS DECISIONS FOR US. ALTHOUGH WE HAVE TWO OUTSIDE
DIRECTORS, THERE ARE NO PROCEDURES IN PLACE TO RESOLVE POTENTIAL CONFLICTS AND
TO EVALUATE RELATED PARTY TRANSACTIONS THAT ARE TYPICALLY REVIEWED BY
INDEPENDENT DIRECTORS.
Because Mr. Wheet owns 1,000,000 Series 2006 Preferred shares, which gives
him the right to vote 125,000,000 shares in addition to the shares of common
stock he already owns, voting together as a single class with the Company's
common stock., he controls a majority of the Company's common stock and can
unilaterally make business decisions on our behalf. Although we recently
appointed two outside directors, there are no procedures in place to resolve
potential conflicts and evaluate related party transactions that are typically
reviewed by independent directors.
WE DO NOT EXPECT TO PAY DIVIDENDS
We have not declared or paid, and for the foreseeable future we do not
anticipate declaring or paying, dividends on our common stock.
ITEM 3. CONTROLS AND PROCEDURES
As of the end of the period covered by this report, being September 30,
2007, the Company carried out an evaluation of the effectiveness of the design
and operation of our disclosure controls and procedures as defined in Rules
13a-15(e) and 15d-15(e) of the Securities Exchange Act of 1934. Based upon that
evaluation, our chief executive officer (who is also our principal financial
officer) concluded that our disclosure controls and procedures are effective to
cause the material information required to be disclosed by us in the reports
that we file or submit under the Exchange Act to be recorded, processed,
summarized and reported within the time periods specified in the SEC's rules and
forms. Subsequent to the date of this evaluation, there have been no changes in
the Company's internal controls or in other factors that could significantly
affect these controls, and no discoveries of any significant deficiencies or
material weaknesses in such controls that would require the Company to take
corrective action. See "RISK FACTORS" for a discussion of the inherent
limitations of any system of controls and procedures.
PART II-OTHER INFORMATION
ITEM 1. LEGAL PROCEEDINGS
On March 1, 2007, the Company filed a lawsuit in the District Court of
Tulsa County, Oklahoma against Globe Med Tech, Inc. ("Globe") to rescind,
terminate and seek monetary damages for the non-fulfillment and breach of a
joint venture agreement entered into November 3, 2005 and other related
agreements, in addition to an accounting of expenditures of funds under the
terms and provisions of the agreements. On May 11, 2007, a partial default
judgment against Globe was granted by the District Court of Harris County,
Texas. The partial default judgment as to liability only was granted with
respect to the Company's causes of action against Globe for breach of contract,
conversion and common law fraud with respect to the Company's Original Petition
and Application for Temporary and Permanent Injunctions against Globe on January
30, 2007. On August 13, 2007, the Company was granted a final default judgment
for permanent injunctive relief and for damages in the amount of $14,029,000
against Globe. Globe has appealed the judgment. On November 23, 2007, the Court
signed an order granting Globe's Motion for New Trial and setting aside the
Final Default Judgment entered in favor of the Company on August 13, 2007.
26
ITEM 2. CHANGES IN SECURITIES AND USE OF PROCEEDS
Equity transactions for the nine months ended September 30, 2007 are
incorporated herein by reference to Part I- Financial Information- Notes to
Financial Statements- Note 5. "Preferred Stock and Common Stock Transactions."
ITEM 6. EXHIBITS AND REPORTS ON FORM 8-K
(a) Exhibits
31.1 Certification Pursuant to 18 U.S.C. 1350, as adopted
pursuant to Section 302 of the Sarbanes-Oxley Act
of 2002
32.1 Certification Pursuant to 18 U.S.C. 1350, as adopted
pursuant to Section 906 of the Sarbanes-Oxley Act
of 2002
(b) Reports on Form 8-K
None.
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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.
REVOLUTIONS MEDICAL CORPORATION
/s/ RONDALD L. WHEET
-----------------------
Rondald L. Wheet
Chief Executive Officer
Date: December 6, 2007
Pursuant to the requirements of 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.
/s/ RONDALD L. WHEET Chief Executive Officer and Director December 6, 2007
---------------------
Rondald L. Wheet (Principal Executive Officer and
Principal Accounting Officer)
/s/ DR. THOMAS BEAHM Director December 6, 2007
---------------------
Dr. Thomas Beahm
/s/ THOMAS O'BRIEN Director December 6, 2007
---------------------
Thomas O'Brien
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