Item 4. Controls and Procedures
Item 4. Controls and Procedures.
We carried out an evaluation,
under the supervision and with the participation of our management including our President and Chief Executive Officer and our Chief Operating
Officer and Chief Financial Officer, of the effectiveness of the design and operation of our disclosure controls and procedures pursuant
to Rule 13(a)-15(b) of the Exchange Act. Based upon that evaluation, our President and Chief Executive Officer and our Chief Operating
Officer and Chief Financial Officer concluded that our disclosure controls and procedures are effective as of the end of the period covered
by this Report.
There was no change in our internal
control over financial reporting during the third quarter of fiscal year 2021 that has materially affected, or is reasonably likely to
materially affect, our internal control over financial reporting.
26
PART II. OTHER INFORMATION
Item 1. Legal Proceedings.
We are not involved in any litigation
or other legal proceedings and management is not aware of any pending litigation or legal proceeding against us that would have a material
adverse effect upon our results of operations or financial condition.
Item 1A. Risk Factors .
There have been no material changes
in our risk factors from those disclosed in our Annual Report on Form 10-K for the fiscal year ended October 31, 2020.
Item 2. Unregistered Sales
of Equity Securities and Use of Proceeds . None.
Item 3. Defaults Upon Senior
Securities . None.
Item 4 . Mine Safety
Disclosures . Not Applicable.
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.