- Notification that Quarterly Report will be submitted late (NT 10-Q)
10 February 2009 - 9:28AM
Edgar (US Regulatory)
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
12b-25
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OMB
Number: 3235-0058
Expires: April
30, 2009
Estimated
average burden hours per response: …..2.50
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NOTIFICATION
OF LATE FILING
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SEC
FILE NUMBER
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333-135790
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(Check
One)
:
¨
F
orm
10-K
¨
Form
20-F
¨
F
orm
11-K
x
Form 10-Q
¨
Form
10D
¨
Form
N-SAR
¨
Form
N-CSR
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CUSIP
NUMBER
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874023104
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For
Period Ended:
December
31, 2008
o
Transition Report
on Form 10-K
o
Transition Report
on Form 20-F
o
Transition Report
on Form 11-K
o
Transition Report
on Form 10-Q
o
Transition Report
on Form N-SAR
For the
Transition Period Ended:_________________________________
Read
attached instruction sheet 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.
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If
the notification relates to a portion of the filing checked above,
identify the Item(s) to which the notification relates:
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PART I -
REGISTRANT INFORMATION
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Full
Name of Registrant
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Tailwind
Financial, Inc.
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Former
Name if Applicable
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Address
of Principal Executive Office
(Street and
Number)
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181
Bay Street; Suite 2040
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City,
State and Zip Code
Toronto,
Ontario, Canada A6 M5J 2T3
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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)
x
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(a)
The reasons described in reasonable detail in Part III of this form could
not be eliminated without unreasonable effort or expense;
(b)
The subject annual report, semi-annual report, transition report on Form
10-K, Form 20-F, 11-K, Form N-SAR or From 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 of transition report on Form
10-Q or subject distribution report on Form 10-D, or portion thereof, will
be filed on or before the fifth calendar day following the prescribed due
date; and
(c)
The accountant’s statement or other exhibit required by Rule 12b-25(c) has
been attached if applicable.
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PART
III
NARRATIVE
State
below in reasonable detail the reasons 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
report of Tailwind Financial, Inc. on Form 10-Q could not be filed within the
prescribed time period because the company has been focusing on the filing of
the proxy statement and related matters thereto in connection with its proposed
business combination, including but not limited to the filing of the target
company’s rights offering prospectus in Canada.
PART
IV
OTHER
INFORMATION
(1)
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Name
and telephone number of person to contact in regard to this
notification
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(Name)
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(Area
Code)
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(Telephone
Number)
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(2)
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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 reports) been
filed? If answer is no, identify report(s).
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x
Yes
¨
No
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(3)
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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?
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¨
Yes
x
No
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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.
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Tailwind
Financial, Inc.
(Name
of Registrant as Specified in
Charter)
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Has
caused this notification to be signed on its behalf by the undersigned hereunto
duly authorized.
Date
: February 09, 2008
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By:
/s/ Andrew A.
McKay
Name:
Andrew A. McKay
Title:
Chief Executive Officer
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INSTRUCTION: The
form may be signed by an executive officer of the registrant or by any other
duly authorized representative. The name and title of the person
signing the form shall be typed or printed beneath the signature. If
the statement is signed on behalf of the registrant by an authorized
representative (other than an executive officer), evidence of the
representative’s authority to sign on behalf of the registrant shall be filed
with the form.
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ATTENTION
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Intentional
misstatements or omissions of fact constitute Federal Criminal Violations
(See 18 U.S.C. 1001).
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GENERAL
INSTRUCTIONS
1.
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This
form is required by Rule 12b-25 (17 CFR 240.12b-25) of the General Rules
and Regulations under the Securities Exchange Act of
1934.
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2.
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One
signed original and four conformed copies of this form and amendments
thereto must be completed and filed with the Securities and Exchange
Commission, Washington, D.C. 20549, in accordance with Rule 0-3 of the
General Rules and Regulations under the Act. The information
contained in or filed with the form will be made a matter of public record
in the Commission files.
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3.
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A
manually signed copy of the form and amendments thereto shall be filed
with each national securities exchange on which any class of securities of
the registrant is registered.
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4.
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Amendments
to the notifications must also be filed on form 12b-25 but need not
restate information that has been correctly furnished. The form
shall be clearly identified as an amended
notification.
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3
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