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Red Flags

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.

Late filings · 2
Warning Late filing notice — 10-Q November 15, 2006

(Attach extra sheets if needed.) The Company intends to file audited consolidated financial statements for the nine months ended September 30, 2006 in connection with its registration statement on ...

Notable Late filing notice — 10-Q November 15, 2005

On November 10, 2005, the Registrant completed a share exchange with Gran Tierra Energy, Inc., a privately held Canadian corporation resulting in a change to the membership of the Board of Director...

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