Filings a company makes when something has gone wrong, or is about to: a missed reporting deadline (NT 10-K/Q), a delisting from its exchange (Form 25), a deregistration that ends SEC reporting altogether (Form 15), or an insider's notice of intent to sell restricted stock (Form 144). Any one can be routine — Form 144s are filed constantly, and a late filing is sometimes just a late filing — so what is worth reading here is the pattern and the timing.
871,332 shares · $6,770,250 · via Fidelity Capital Markets · Investment Manager
685,559 shares · $5,457,050 · via Fidelity Capital Markets · Investment Manager
7 more red-flag filings behind a free account
See every red-flag filing Saba Capital Income & Opportunities Fund has made, with the filing behind each one.
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