OMB APPROVAL

OMB Number:   3235-0058
Expires:   April 30, 2009
Estimated average burden
hours per response   2.50
SEC FILE NUMBER
CUSIP NUMBER

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 12b-25

 

 

NOTIFICATION OF LATE FILING

 

(Check One)      

x   Form 10-K     ¨   Form 20-F     ¨   Form 11-K     ¨   Form 10-Q

¨   Form 10-D     ¨   Form N-SAR     ¨   Form N-CSR

  For Period Ended:     12/31/13
  ¨   Transition Report on Form 10-K
  ¨   Transition Report on Form 20-F
  ¨   Transition Report on Form 11-K
  ¨   Transition Report on Form 10-Q
  ¨   Transition Report on Form N-SAR
  For the Transition Period Ended:     

 

Read Instruction (on back page) Before Preparing Form. Please Print or Type.

Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:

 

 

 

PART I — REGISTRANT INFORMATION

Alseres Pharmaceuticals, Inc.

Full Name of Registrant

 

Former Name if Applicable

275 Grove Street, Suite 2-400

Address of Principal Executive Office ( Street and Number )

Auburndale, MA 02466

City, State and Zip Code

 

 

PART II — RULES 12b-25(b) AND (c)

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate)

 

¨       (a)  

The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense.

 

x   (b)  

The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filled on or before the fifth calendar day following the prescribed due date: and

 

¨   (c)   The accountant’s statement or other exhibit is required by Rule 12b-25(c) has been attached if applicable.

 

 

PART III — NARRATIVE

State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.

The registrant is a very small company with extremely limited resources. Due to the severe resource constraints on the company, we had only one person responsible for preparing all the requisite backup materials for the Form 10-K filing and for interfacing with the registrant’s registered independent public accounting firm, We will file the form 10-K within the prescribed 15 business days if not sooner and we do not expect this type of delay to recur.

(Attach Extra Sheets if Needed)

 

 

SEC 1344 (05-06)

PART IV — OTHER INFORMATION

 

(1)  Name and telephone number of person to contact in regard to this notification

 

Kenneth L. Rice Jr.        781       929-2639
(Name)        (Area Code)       (Telephone Number)

 

(2)  Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If the answer is no, identify report(s).    Yes   ¨     No   x

Form 10-Q for the period ended March 31, 2013.

 

(3)  Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof?    Yes   ¨     No   x

If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.

 

 

 

 

(Name of Registrant as Specified in Charter)

has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: 

  March 31, 2014     By:      /s/ Kenneth L. Rice Jr. EVP & CFO
     

Name and Title

 

 

 

Alseres Pharmaceuticals (CE) (USOTC:ALSE)
Historical Stock Chart
Von Apr 2024 bis Mai 2024 Click Here for more Alseres Pharmaceuticals (CE) Charts.
Alseres Pharmaceuticals (CE) (USOTC:ALSE)
Historical Stock Chart
Von Mai 2023 bis Mai 2024 Click Here for more Alseres Pharmaceuticals (CE) Charts.