0001398344-19-000688.txt : 20190115 0001398344-19-000688.hdr.sgml : 20190115 20190115115611 ACCESSION NUMBER: 0001398344-19-000688 CONFORMED SUBMISSION TYPE: NT-NCEN PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181031 FILED AS OF DATE: 20190115 DATE AS OF CHANGE: 20190115 EFFECTIVENESS DATE: 20190115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPINE SERIES TRUST CENTRAL INDEX KEY: 0001142010 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: NT-NCEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-10405 FILM NUMBER: 19526584 BUSINESS ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 215 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 9142510880 MAIL ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 215 CITY: PURCHASE STATE: NY ZIP: 10577 0001142010 S000005206 Alpine Dynamic Dividend Fund C000014198 Institutional Class ADVDX C000109314 Class A ADAVX 0001142010 S000005207 Alpine Financial Services Fund C000014199 Institutional Class ADFSX C000109315 Class A ADAFX 0001142010 S000012556 Alpine Small Cap Fund C000034138 Institutional Class ADINX C000109316 Class A ADIAX 0001142010 S000024118 Alpine Rising Dividend Fund C000070833 Institutional Class AADDX C000109318 Class A AAADX NT-NCEN 1 fp0038576_ntncen.htm

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

  SEC FILE NUMBER
  811-10405

 

 

 

FORM 12b-25

  

 

 

NOTIFICATION OF LATE FILING

 

  (Check one):  

[  ] Form 10-K      [  ] Form 20-F      [  ] Form 11-K      [  ] Form 10-Q

[  ] Form 10-D      [X] Form N-CEN      [  ] Form N-CSR

     
    For Period Ended: October 31, 2018
     
    [  ]  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-CEN
     
    For the Transition Period Ended: ______________________________

 

Read Instructions (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

 

Full Name of Registrant

Alpine Series Trust

 

Former Name if Applicable

 

Address of Principal Executive Office (Street and Number)

2500 Westchester Avenue, Suite 215

 

 

City, State and Zip Code

Purchase, New York 10577

 

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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]     (a)

The reason 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, Form 11-K, Form N-CEN or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due dated; 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 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.

 

 

 

PART III — NARRATIVE

 

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

 

The Registrant was unable to file its final N-CEN filing within the prescribed time period without unreasonable effort or expense due to changes in services provided by the administrator subsequent to the deregistration of the Registrant; however, the Registrant expects to file its final Form N-CEN as quickly as possible.

 

(Attach extra Sheets if Needed)

  

 

 

PART IV — OTHER INFORMATION

 

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

 

Joe C. Caruso   914   708-5114
(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 answer is no, identify report(s).  Yes [X]  No [  ]

 

(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.

 

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Alpine Series Trust

(Name of Registrant as Specified in Charter)

 

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

 

Date: January 15, 2019 By: /s/ Joe C. Caruso  
      Joe C. Caruso, Treasurer  

 

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