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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 10-Q

 

(Mark One)

 

QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the quarterly period ended September 30, 2021

 

TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

 

For the transition period from _______ to ______

 

Commission File Number 000-55849

 

LEGACY VENTURES INTERNATIONAL, INC

(Exact name of registrant as specified in its charter)

 

Nevada   30-0826318

(State or other jurisdiction

of incorporation or organization)

 

(I.R.S. Employer

Identification No.)

 

27 Baycliffe Rd. Markham, ON, L3R 7T9

(Address of principal executive offices) (Zip Code)

 

647-969-7383

(Registrant’s telephone number, including area code)

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes ☒ 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
(Do not check if 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 is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No

 

As of November 15, 2021, there were 315,064 outstanding shares of the registrant’s common stock, $0.0001 par value per share

 

 

 

 

 

 

TABLE OF CONTENTS

 

  Page No.

PART I – FINANCIAL INFORMATION

 
   
Item 1. Financial Statements 3
   
Item 2. Management’s Discussion and Analysis 11
   
Item 3. Quantitative and Qualitative Disclosures About Market Risk 12
   
Item 4. Controls and Procedures 12
   
PART II – OTHER INFORMATION  
   
Item 1. Legal Proceedings 13
   
Item 1A. Risk Factors 13
   
Item 2. Unregistered Sales of Equity Securities and Use of Proceeds 13
   
Item 3. Defaults Upon Senior Securities 13
   
Item 4. Mine Safety Disclosures 13
   
Item 5. Other Information 13
   
Item 6. Exhibits 13

 

2

 

 

PART I

 

FINANCIAL INFORMATION

 

ITEM 1. FINANCIAL STATEMENTS REQUIRED BY FORM 10-Q

 

The Interim Condensed Financial Statements of the Company are prepared as of September 30, 2021

 

CONTENTS 
   
Interim Condensed Balance Sheets 4
   
Interim Condensed Statements of Operations and Comprehensive Income (Loss) 5
   
Interim Condensed Statements of Stockholders’ Deficiency 6
   
Interim Condensed Statements of Cash Flows 7
   
Notes to the Interim Condensed Financial Statements 8

 

3

 

 

LEGACY VENTURES INTERNATIONAL, INC.

INTERIM CONDENSED BALANCE SHEETS

(unaudited)

(Express in United States Dollars (“US dollars”), except for number of shares)

 

    Note     September 30,
2021
    June 30,
2021
(audited)
 
ASSETS                        
Current assets                        
Cash           $ -     $ 22,780  
Total assets           $ -     $ 22,780  
LIABILITIES AND STOCKHOLDERS’ DEFICIENCY                        
Current liabilities                        
Accounts payable and accrued liabilities     5     $ 95,154     $ 140,609  
Secured promissory notes     4       -       165,000  
Convertible notes     4       -       20,000  
Interest payable     4       -       32,418  
Advances from third parties     5       -       22,925  
Total liabilities           $ 95,154     $ 380,952  
                         
Stockholders’ deficiency                        
Preferred Stock, $0.0001 par value; 10,000,000 shares authorized:                        
Preferred Stock - no shares issued and outstanding September 30, 2021, and June 30, 2021     7     $ -     $ -  
Common Stock, $0.0001 par value; 100,000,000 shares authorized:                        
Common Stock - 315,064 shares issued and outstanding September 30, 2021 and June 30, 2021     7       32       32  
Additional paid in capital             6,394,771       6,394,771  
Accumulated deficit             (6,489,957 )     (6,752,975 )
Total stockholders’ deficiency             (95,154 )     (358,172 )
Total liabilities and stockholders’ deficiency           $ -     $ 22,780  

 

See accompanying notes to the unaudited interim condensed financial statements

 

4

 

 

LEGACY VENTURES INTERNATIONAL, INC.

INTERIM CONDENSED STATEMENTS OF OPERATIONS AND COMPREHENSIVE INCOME (LOSS)

(unaudited)

(Express in United States Dollars (“US dollars”), except for number of shares)

 

    Note     2021     2020  
         

For the three months ended

September 30,

 
    Note     2021     2020  
Operating expenses                        
Professional fees     5     $ 5,440     $ 13,250  
Other general and administration expenses             3,720       1,316  
Loss from operations             (9,160 )     (14,566 )
Other income (expenses)                        
Interest expense - Convertible and Secured notes     4       (13,363 )     (3,668 )
Gain on cancellation of secured promissory notes and convertible notes             225,000       -  
Gain on cancellation of interest payable             45,781       -  
Gain on cancellation of third party advances and accrued liabilities             14,760       -  
Bank charges and other             -       21  
Total other income (expenses)             272,178       (3,647 )
Income (Loss) before taxes             263,018       (18,213 )
Net income (loss) and comprehensive income (loss)           $ 263,018     $ (18,213 )
                         
Net income (loss) per share - basic and diluted     6     $ 0.83     $ (0.06 )
Weighted average number of common shares outstanding - basic and diluted             315,064       315,064  

 

See accompanying notes to the unaudited interim condensed financial statements

 

5

 

 

LEGACY VENTURES INTERNATIONAL, INC.

INTERIM CONDENSED STATEMENTS OF STOCKHOLDERS’ DEFICIENCY

(unaudited)

(Express in United States Dollars (“US dollars”), except for number of shares)

 

                                     
          Common Stock                    
    Note     Number of Shares     Amount     Additional paid in capital     Deficit     Total  
June 30, 2020             315,064     $ 32     $ 6,394,771     $ (6,650,583 )   $ (255,780 )
Net loss             -       -       -       (18,213 )     (18,213 )
September 30, 2020             315,064     $ 32     $ 6,394,771     $ (6,668,796 )   $ (273,993 )

 

          Common Stock                    
    Note     Number of Shares     Amount     Additional paid in capital     Deficit     Total  
June 30, 2021           315,064     $ 32     $ 6,394,771     $ (6,752,975 )   $ (358,172 )
Net income           -       -       -       263,018       263,018  
September 30, 2021                 315,064     $ 32     $ 6,394,771     $ (6,489,957 )   $ (95,154 )

 

See accompanying notes to the unaudited interim condensed financial statements

 

6

 

 

LEGACY VENTURES INTERNATIONAL, INC.

INTERIM CONDENSED STATEMENTS OF CASH FLOWS

(unaudited)

(Express in United States Dollars (“US dollars”), except for number of shares)

 

    2021     2020  
   

For the three months ended

September 30,

 
    2021     2020  
CASH FLOWS FROM OPERATING ACTIVITIES:                
Net income (loss)   $ 263,018     $ (18,213 )
Gain on cancellation of secured promissory notes and convertible notes     (225,000 )        
Gain on cancellation of interest payable     (45,781 )        
Gain on cancellation of third party advances and accrued liabilities     (14,760 )        
Changes in non-cash operating assets and liabilities                
Interest payable - Convertible notes     13,363       3,668  
Advances from third parties     (20,055 )     -  
Accounts payable and accrued liabilities     (33,565 )     12,566  
Net cash flows used in operating activities     (62,780 )     (1,979 )
                 
CASH FLOWS FROM FINANCING ACTIVITY:                
Proceeds from secured convertible note     40,000       -  
Net cash flows provided by financing activity     40,000       -  
                 
Decrease in cash     (22,780 )     (1,979 )
Cash, beginning of period     22,780       15,136  
Cash, end of period   $ -     $ 13,157  
                 
Cash payments for:                
Interest   $ -     $ -  
Income taxes   $ -     $ -  

 

See accompanying notes to the unaudited interim condensed financial statements

 

7

 

 

LEGACY VENTURES INTERNATIONAL, INC.

NOTES TO THE UNAUDITED INTERIM CONDENSED FINANCIAL STATEMENTS

(unaudited)

(Express in United States Dollars (“US dollars”), except for number of shares)

 

NOTE 1 - ORGANIZATION AND DESCRIPTION OF BUSINESS

 

Legacy Ventures International, Inc. (“Legacy” or the “Company”), was incorporated on March 4, 2014 under the laws of the State of Nevada. The Company currently has no ongoing operations except for the incurring of general and administrative expenditures.

 

On August 9, 2018, the former holder of 91% of the outstanding shares of common stock of the Company, approved the appointment of Peter Sohn as the Chief Executive Officer and Chief Financial Officer and Director of the Company. Effective December 17, 2018, and Mr. Sohn accepted the appointments as Chief Executive Officer and Chief Financial Officer and Director of the Company.

 

On December 17, 2018, the former of 91% of the outstanding shares of common stock of the Company delivered to Peter Sohn an agreement for the acquisition by Mr. Sohn of the Shares from Mr. Letcavage, which agreement was dated August 9, 2018, but was delivered and deemed effective on December 17, 2018 (the “Agreement”). As a result, Mr. Sohn was able to unilaterally control the election of our Board of Directors, all matters upon which shareholder approval was required and, ultimately, the direction of the Company.

 

COVID-19

 

The outbreak of the novel strain of coronavirus, specifically identified as “COVID-19”, has resulted in governments worldwide enacting emergency measures to combat the spread of the virus. These measures, which include the implementation of travel bans, self-imposed quarantine periods and social distancing, have caused material disruption to businesses globally resulting in an economic slowdown. Global equity markets have experienced significant volatility and weakness. Governments and central banks have reacted with significant monetary and fiscal interventions designed to stabilize economic conditions. The duration and impact of the COVID-19 outbreak is unknown at this time, as is the efficacy of the government and central bank interventions. It is not possible to reliably estimate the length and severity of these developments and the impact on the financial results and conditions of the Company in future periods. To date the Company has not experienced any impacts as a result of COVID-19.

 

NOTE 2 – GOING CONCERN AND BASIS OF PRESENTATION

 

The Company’s unaudited interim condensed financial statements have been prepared on a going concern basis, which contemplates the realization of assets and satisfaction of liabilities in the normal course of business. As of September 30, 2021, the Company has a working capital deficiency of $95,154, and an accumulated deficit of $6,489,957. The Company’s continued existence is dependent upon its ability to continue to execute its operating plan and to obtain additional debt or equity financing. These conditions raise substantial doubt about the Company’s ability to continue as a going concern. There can be no assurance that the necessary debt or equity financing will be available, or will be available on terms acceptable to the Company, in which case the Company may be unable to meet its obligations. Should the Company be unable to realize its assets and discharge its liabilities in the normal course of business, the net realizable value of its assets may be materially less than the amounts recorded in the unaudited interim condensed financial statements. The unaudited interim condensed financial statements do not include any adjustments relating to the recoverability of recorded asset amounts that might be necessary should the Company be unable to continue in existence.

 

NOTE 3 – SIGNIFICANT ACCOUNTING POLICIES AND RECENT ACCOUNTING PRONOUNCEMENTS

 

SIGNIFICANT ACCOUNTING POLICIES

 

The Company’s significant accounting policies have not changed from the year ended June 30, 2021.

 

The accompanying unaudited condensed interim financial statements have been prepared in accordance with generally accepted accounting principles for interim financial information and with the instructions to Form 10–Q and Rule 10 of Regulation S–X. Accordingly, they do not include all of the information and notes required by accounting principles generally accepted in the United States of America. However, in the opinion of the management of the Company, all adjustments necessary for a fair presentation of the financial position and operating results have been included in these unaudited condensed interim financial statements. These unaudited condensed interim financial statements should be read in conjunction with the financial statements and notes thereto included in the Company’s Annual Report on Form 10–K for the fiscal year ended June 30, 2021, as filed with the SEC on September 28, 2021. Operating results for the three months ended September 30, 2021, are not necessarily indicative of the results that may be expected for any subsequent quarter or for the year ending June 30, 2022.

 

8

 

 

LEGACY VENTURES INTERNATIONAL, INC.

NOTES TO THE UNAUDITED INTERIM CONDENSED FINANCIAL STATEMENTS

(Expressed in US dollars)

(Unaudited)

 

NOTE 4 – SECURED PROMISSORY AND CONVERTIBLE NOTES

 

Secured Promissory Note

 

On December 2, 2018, the Company issued a Secured Promissory Note (“Secured Note”) to an accredited investor. The Secured Note has an aggregate principal amount of $50,000, and is payable on December 2, 2019 (the “Maturity Date”), and bears an interest rate of 4% per annum and a default interest rate of 18% per annum. The amount owing under the Secured Note is secured by the assets of the Company. The Secured Note may be converted into shares of common stock of the Company, the terms of which are to be negotiated between the Company and the note holder. Interest expense for the three months ended September 30, 2021 and 2020 was $2,391 and $2,391, respectively.

 

On September 6, 2019, the Company issued a Secured Promissory Note (“Secured Note”) to an accredited investor. The Secured Note has an aggregate principal amount of $50,000, and is payable on September 6, 2020 (the “Maturity Date”), and bears an interest rate of 4% per annum and a default interest rate of 18% per annum. The amount owing under the Secured Note is secured by the assets of the Company. The note may be converted into shares of common stock of the Company, the terms of which are to be negotiated between the Company and the note holder. Interest expense for the three months ended September 30, 2021 and 2020, was $2,391 and $1,039, respectively.

 

On October 1, 2020, the Company issued a Secured Promissory Note (“Secured Note”) to an accredited investor. The Secured Note has an aggregate principal amount of $65,000, and is payable on October 1, 2021, (the “Maturity Date”), and bears an interest rate of 4% per annum and a default interest rate of 18%. The amount owing under the Secured Note is secured by the assets of the Company. The note may be converted into shares of common stock of the Company, the terms of which are to be negotiated between the Company and the note holder. Interest expense for the three months ended September 30, 2021 and 2020, was $655 and $0, respectively.

 

On August 13, 2021, the Company issued a Secured Promissory Note (“Secured Note”) to an accredited investor. The Secured Note has an aggregate principal amount of $40,000, and is payable on August 13, 2022, (the “Maturity Date”), and bears an interest rate of 4% per annum and a default interest rate of 18% per annum. The amount owing under the Secured Note is secured by the assets of the Company. The note may be converted, the terms of which are to be negotiated between the Company and the note holder. Interest expense for the three months ended September 30, 2021 and 2020, was $470 and $nil, respectively.

 

As of September 30, 2021, each note holder has agreed to entered into a cancellation and release agreement to provide conclusive evidence of the cancellation, settlement and full and final mutual release with respect to all and any rights, obligations and disputes among the Parties arising under the Secured Note. There is no outstanding interest payable nor outstanding secured promissory note. The cancellation of secured promissory notes and the cancellation of interest payable were recorded as a gain on the statement of operation and comprehensive income (loss). The principal amount of $205,000, plus accumulated interest of $33,941, were forgiven.

 

Unsecured Convertible Promissory Notes

 

On June 28, 2017 the Company issued $20,000 of unsecured convertible promissory notes (“Convertible Notes”). The notes were assigned to 5 different arm’s length parties, each holding $4,000. The Convertible Notes matured on June 27, 2018, and bear interest at a rate of 8% per annum, and 12% for amounts owing past the default date. The Convertible Notes are convertible into the Common Stock of the Company at a fixed conversion rate of $0.75 per share at any time prior to the maturity date. The Company evaluated the terms and conditions of the Convertible Notes under the guidance of ASC 815, Derivatives and Hedging. The conversion feature met the definition of conventional convertible for purposes of applying the conventional convertible exemption. The definition of conventional contemplates a limitation on the number of shares issuable under the arrangement. The instrument was convertible into a fixed number of shares and there were no down round protection features contained in the contracts. The Company was required to consider whether the hybrid contracts embodied a beneficial conversion feature (“BCF”). The calculation of the effective conversion amount resulted in a BCF because the fair value of the conversion was greater than the Company’s stock price on the date of issuance and a BCF was recorded in the amount of $20,000 and accordingly the amount of $20,000 was credited to Additional Paid in Capital. The BCF which represents debt discount is accreted over the life of the loan using the effective interest rate. Interest expense for the three months ended September 30, 2021 and 2020 was $248 and $238, respectively.

 

As of September 30, 2021, each note holder has agreed to entered into a cancellation and release agreement to provide conclusive evidence of the cancellation, settlement and full and final mutual release with respect to all and any rights, obligations and disputes among the Parties arising under the Secured Note. Three is no outstanding interest payable nor outstanding secured promissory note. The cancellation of convertible promissory notes and the cancellation of interest payable were recorded as a gain on the statement of operation and comprehensive income (loss). The principal amount of $20,000, plus accumulated interest of $11,840, were forgiven.

 

9

 

 

LEGACY VENTURES INTERNATIONAL, INC.

NOTES TO THE UNAUDITED INTERIM CONDENSED FINANCIAL STATEMENTS

(Expressed in US dollars)

(Unaudited)

 

NOTE 5 – RELATED PARTY ADVANCES AND BALANCES, AND ADVANCES FROM THIRD PARTIES

 

The Company was previously advanced funds by a third party, the funds were used to pay certain professional fees including auditors, and accountants. The Company has agreed with the third party with respect to settlement of the amount advanced. As of September 30, 2021, there is no outstanding amount owe to third party.

 

For the three months ended September 30, 2021, there were no related party transactions.

 

For the three months ended September 30, 2020, $3,000 was paid to the Company’s sole Director and Officer, the amount expensed is in Professional fees in the interim unaudited condensed statements of operations and comprehensive income (loss). There were no other related party transactions.

 

NOTE 6 - BASIC AND DILUTED NET INCOME (LOSS) PER SHARE

 

The Company follows ASC Topic 260 to account for the income (loss) per share. Basic income (loss) per common share (“EPS”) calculations are determined by dividing net income (loss) by the weighted average number of shares of common stock outstanding during the year. Diluted income (loss) per common share calculations are determined by dividing net loss by the weighted average number of common shares and dilutive common share equivalents (if dilutive) outstanding. All dilutive common share equivalents were anti-dilutive for the three months ended September 30, 2021 and 2020.

 

NOTE 7 - COMMON AND PREFERRED STOCK TRANSACTIONS

 

As of September 30, 2021, the Company was authorized to issue 10,000,000 of preferred stock, with a par value of $0.0001 and 100,000,000 of common stock, with a par value of $0.0001.

 

There were no common stock transactions in the three months ended September 30, 2021 and 2020.

 

As of September 30, 2021, and June 30, 2021, the Company had 315,064 common stock issued and outstanding.

 

NOTE 8 - SUBSEQUENT EVENTS

 

In accordance with ASC Topic 855, “Subsequent Events”, which establishes general standards of accounting for and disclosure of events that occur after the balance sheet date but before financial statements are issued, the Company has evaluated all events or transactions that occurred after September 30, 2021 up through the date the Company issued the interim condensed financial statements.

 

10

 

 

Item 2. Management’s Discussion and Analysis of Financial Condition and Results of Operations.

 

Forward-Looking Statements

 

This report contains forward-looking statements that involve risks and uncertainties. We use words such as anticipate, believe, plan, expect, future, intend and similar expressions to identify such forward-looking statements. You should not place too much reliance on these forward-looking statements. The Company’s actual results are likely to differ materially from those anticipated in these forward-looking statements for many reasons.

 

Plan of Operation

 

Legacy Ventures International, Inc. (“Legacy” or the “Company”), was incorporated on March 4, 2014 under the laws of the State of Nevada.

 

Liquidity and Capital Resources

 

As of September 30, 2021, the Company’s primary source of liquidity consisted of $0 (June 30, 2021 - $22,780) in cash. The Company financed its operations through a combination of advances from third parties and the issuance of secured promissory notes and convertible promissory notes.

 

On August 13, 2021, the Company issued a Secured Promissory Note (“Secured Note”) to an accredited investor. The Secured Note has an aggregate principal amount of $40,000, and is payable on August 13, 2022, (the “Maturity Date”), and bears an interest rate of 4% per annum and a default interest rate of 18% per annum. The amount owing under the Secured Note is secured by the assets of the Company. The note may be converted, the terms of which are to be negotiated between the Company and the note holder.

 

The Company has sustained net losses which have resulted in a total stockholders’ deficiency at September 30, 2021, and is currently experiencing a shortfall in operating capital which raises substantial doubt about the Company’s ability to continue as a going concern. The Company anticipates a net loss for the year ending June 30, 2022 and with the expected cash requirements for the coming months, without additional cash inflows from a corporate transaction, there is substantial doubt as to the Company’s ability to continue operations.

 

We may seek to secure additional debt or equity capital to finance substantial business development initiatives. There is presently no agreement in place with any source of financing for the Company and there can be no assurance that the Company will be able to raise any additional funds, or that such funds will be available on acceptable terms. Funds raised through future equity financing will likely be substantially dilutive to current shareholders. Lack of additional funds will materially affect the Company and its business, and may cause the Company to cease operations. Consequently, shareholders could incur a loss of their entire investment in the Company.

 

Net Cash Used in Operating Activities

 

During the three months ended September 30, 2021, cash used in operations was $62,780 and $1,979 for the three months ended September 30, 2020, respectively. Cash used in operating activities was primarily the result of settlement of accrual liabilities.

 

Net Cash Used in Investing Activities

 

There was no cash used in or provided from investing activities for the three months ended September 30, 2021 and 2020.

 

Net Cash Provided by Financing Activity

 

There was cash provided from financing activity of $40,000 and $0, respectively for the three months ended September 30, 2021 and 2020, as a result of the proceeds received from the issuance of a secured promissory note.

 

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Results of Operations

 

Operating expenses. Operating expenses for the three months ended September 30, 2021, was $9,160 compared with $14,566 for the three months ended September 30, 2020. Operating expenses were lower with the three months ended September 30, 2020 largely due to lower professional fees.

 

Other income (expenses). Other income was higher for the three months ended September 30, 2021, compared with the other expenses for the three months ended September 30, 2020, primarily due to gain on cancellation of secured promissory notes and convertible notes, gain on cancellation of interest payable and gain on cancellation of third party advances and accrued liabilities.

 

Net income (Loss). Net income for the three months ended September 30, 2021, was $263,018, compared with net loss of $18,213 for the three months ended September 30, 2020.

 

Off-Balance Sheet Arrangements

 

We do not have any off balance sheet arrangements that have or are reasonably likely to have a current or future effect on the Company’s financial condition, changes in financial condition, revenues or expenses, results of operations, liquidity, capital expenditures, or capital resources that is material to investors.

 

Personnel

 

The Company has no full-time employees, but utilizes other project-based contract personnel to carry out the Company’s business. We utilize contract personnel on a continuous basis, primarily in connection with the filing of reports with the Securities and Exchange Commission which require a high level of specialization for one or more of the service components offered.

 

Item 3. Quantitative and Qualitative Disclosures About Market Risk.

 

Not Required.

 

Item 4. Controls and Procedures.

 

The Securities and Exchange Commission defines the term “disclosure controls and procedures” to mean a Company’s controls and other procedures of an issuer that are designed to ensure that information required to be disclosed in the reports that it files or submits under the Securities Exchange Act of 1934 is recorded, processed, summarized and reported, within the time periods specified in the Securities and Exchange Commission’s rules and forms. Disclosure controls and procedures include, without limitation, controls and procedures designed to ensure that information required to be disclosed by an issuer in the reports that it files or submits under the Securities Exchange Act of 1934 is accumulated and communicated to the issuer’s management, including its principal executive and principal financial officers, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure. The Company maintains such a system of controls and procedures in an effort to ensure that all information which it is required to disclose in the reports it files under the Securities Exchange Act of 1934 is recorded, processed, summarized and reported within the time periods specified under the SEC’s rules and forms and that information required to be disclosed is accumulated and communicated to principal executive and principal financial officers to allow timely decisions regarding disclosure.

 

As of the end of the period covered by this Quarterly Report, the Company carried out an evaluation, under the supervision and with the participation of the Company’s chief executive officer and chief financial officer, of the effectiveness of the design and operation of the Company’s disclosure controls and procedures pursuant to Exchange Act Rules 13a-15(b) and 15d-15(b). Based upon this evaluation, the Company’s chief executive officer and chief financial officer concluded that the Company’s disclosure controls and procedures as of the end of the period covered by this Quarterly Report were ineffective due to a lack of segregation of duties, due to limited administrative and financial personnel and related resources and as the Company only has one director.

 

Changes in Internal Control over Financial Reporting

 

There have been no significant changes in the Company’s internal controls over financial reporting that occurred during the period ended September 30, 2021, that have materially or are reasonably likely to materially affect, the Company’s internal controls over financial reporting.

 

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PART II – OTHER INFORMATION

 

Item 1. Legal Proceedings

 

We are not currently subject to any legal proceedings, and to the best of our knowledge, no such proceeding is threatened, the results of which would have a material impact on the Company’s properties, results of operations, or financial condition. Nor, to the best of our knowledge, are any of the Company’s officers or directors involved in any legal proceedings in which we are an adverse party.

 

Item 1A. Risk Factors

 

Since we are a smaller reporting company, we are not required to provide the information required by this Item.

 

Item 2. Unregistered Sales of Equity Securities and Use of Proceeds

 

On August 13, 2021, the Company issued a Secured Promissory Note (“Secured Note”) to an accredited investor. The Secured Note has an aggregate principal amount of $40,000, and is payable on August 13, 2022, (the “Maturity Date”), and bears an interest rate of 4% per annum and a default interest rate of 18% per annum. The amount owing under the Secured Note is secured by the assets of the Company. The note was cancelled on September 30, 2021.

 

Item 3. Defaults Upon Senior Securities

 

None.

 

Item 4. Mine Safety Disclosures.

 

Not Applicable.

 

Item 5. Other Information.

 

None.

 

Item 6. Exhibits.

 

The following exhibits are filed with or incorporated by reference in this report:

 

Item No.   Description
     
31.1*   Certification pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 for Ying Feng LAI.
     
32.1*   Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 for Ying Feng LAI.
     
101*   XBRL Report

 

* filed herewith

 

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  LEGACY VENTURES INTERNATIONAL, INC.
     
Date: November 15, 2021 By: /s/ Ying Feng LAI
  Name: Ying Feng LAI
  Title: Chief Financial Officer and Principal Executive Officer

 

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