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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 10, 2011

The registrant is unable to file its Quarterly Report on Form 10-Q for the quarter ended September 30, 2011 within the prescribed time period because the information required for an accurate and fu...

Notable Late filing notice — 10-K April 01, 2005

(Attach extra Sheets if Needed) The Registrant is unable, without unreasonable effort and expense, to file its Annual Report on Form 10-K for the fiscal year ended December 31, 2004 on a timely bas...

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