UNITED STATES
 SECURITIES AND EXCHANGE COMMISSION
 Washington, D.C. 20549
 
FORM 10-K/A
(Amendment No. 3)
 
(Mark One)
 
☒
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
 
 
For the Fiscal Year Ended December 31, 2020
 
 
  OR
 
 
☐
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
 
 
 
For the transition period from ________ to ________
 
Commission File No. 000-30901
 
SUPPORT.COM, INC.
 (Exact name of registrant as specified in its charter)
 
Delaware
 
94-3282005
(State or other jurisdiction of
 incorporation or organization)
 
(I.R.S. Employer
 Identification No.)
 
1521 Concord Pike (US 202), Suite 301, Wilmington, DE 19803
(Address of principal executive offices, including zip code)
 
 (650) 556-9440
(Registrant’s telephone number, including area code)
 
Securities registered pursuant to Section 12(b) of the Act:
 
Common Stock, par value $0.0001
 
SPRT
 
The Nasdaq Stock Market LLC
Title of each class
 
Trading symbol(s)
 
Name of each exchange on which registered
 
Securities registered pursuant to Section 12(g) of the Act: None
 
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐ No ☒
 
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ☐ No ☒
 
 
 
 
 
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
 
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐
 
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act.
 
Large accelerated filer
☐
 
Accelerated filer
☐
Non-accelerated filer
☐
 
Smaller reporting company
☒
 
 
 
Emerging growth company
☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
 
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☐
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒
 
The aggregate market value of the registrant’s common stock held by non-affiliates as of June 30, 2020, the end of the registrant’s second fiscal quarter, was approximately $26.9 million, based on a closing market price of $1.41 per share.
 
As of July 12, 2021, there were 24,229,460 shares of the registrant’s common stock outstanding.
 
 
 

 
 
 
 
 
EXPLANATORY NOTE
 
This Amendment No. 3 on Form 10-K/A (this “Amendment”) amends the Annual Report on Form 10-K for the fiscal year ended December 31, 2020 of Support.com, Inc. (“Support.com,” the “Company,” “We” or “Our”), as originally filed with the Securities and Exchange Commission (“SEC”) on March 30, 2021, and as amended by the Amendment No. 1 on Form 10-K/A filed on April 30, 2021 and by the Amendment No. 2 on Form 10-K/A filed on July 16, 2021 ((“Amendment No. 2”) (as so amended, the “Original Form 10-K”).
 
Pursuant to a comment letter of the SEC dated August 3, 2021, this Amendment is being filed solely to (i) correct the inadvertent omission of paragraph 3 of the certification of our Chief Executive Officer filed as Exhibit 31.5 and the certification of our Chief Financial Officer filed as Exhibit 31.6 to Amendment No. 2 and (ii) correct the inadvertent omission in Amendment No. 2 of the Statement of the Chief Executive Officer under 18 U.S.C. § 1350 and the Statement of the Chief Financial Officer under 18 U.S.C. § 1350.
 
Except as described above, no other changes have been made to the Original Form 10-K. This Amendment does not otherwise update information in the Original Form 10-K to reflect facts or events occurring subsequent to the filing date of the Original Form 10-K. This Amendment should be read in conjunction with the Original Form 10-K and our other filings made with the SEC subsequent to filing of the Original Form 10-K.
 
 
 
 
 
 
 
ITEM 15 – EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
 
The following exhibits are filed with this Amendment No. 3 on Form 10-K/A.
 
Exhibit Number
Exhibit Title
31.5†
Chief Executive Officer Section 302 Certification
31.6††
Chief Financial Officer Section 302 Certification
32.3+
Statement of the Chief Executive Officer under 18 U.S.C. Section 1350(1)
32.4+
Statement of the Chief Financial Officer under 18 U.S.C. Section 1350(1)
 
+            
Filed herewith
†            
Filed herewith in replacement of Exhibit 31.5 filed with Amendment No. 2
††         
Filed herewith in replacement of Exhibit 31.6 filed with Amendment No. 2
 
(1)            
The material contained in Exhibit 32.3 and 32.4 shall not be deemed “filed” with the SEC and is not to be incorporated by reference into any filing of the Company under the Securities Act of 1933 or the Securities Exchange Act of 1934, whether made before or after the date hereof irrespective of any general incorporation language contained in such filing, except to the extent that the registrant specifically incorporates it by reference.
 
 
 
 
 
SIGNATURES
 
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Amendment No. 3 to its Annual Report on Form 10-K/A to be signed on its behalf by the undersigned, thereunto duly authorized.
 
August 5, 2021
SUPPORT.COM, INC.
 
 
 
 
By:
/s/ Lance Rosenzweig
 
 
Lance Rosenzweig
 
 
President & Chief Executive Officer
 
 
 
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