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.
10,000 shares · $40,000 · via Raymond James & Associates · Director
On March 20, 2012, the Ohio Air Quality Development Authority (“OAQDA”) approved an amendment to its 166 Direct Loan with the company which included a waiver for non-compliance with a financial cov...
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