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.
On August 29, 2023, Prospect Capital Corporation (the “Company”) filed a Form 12b-25 (the “Original 12b-25”). The Original 12b-25 detailed that the Company was unable to file its Annual Report on F...
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