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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 · 1 Delistings · 1
Notable Late filing notice — 10-Q February 14, 2024

Investcorp Credit Management BDC, Inc. (the “Company”) was unable to file, without unreasonable effort and expense, its Quarterly Report on Form 10-Q for the period ended December 31, 2023 (the “Fo...

Info Delisting — Nasdaq Stock Market LLC April 23, 2021

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