0001144204-14-026316.txt : 20140430 0001144204-14-026316.hdr.sgml : 20140430 20140430162523 ACCESSION NUMBER: 0001144204-14-026316 CONFORMED SUBMISSION TYPE: NT 20-F PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140430 DATE AS OF CHANGE: 20140430 EFFECTIVENESS DATE: 20140430 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NewLead Holdings Ltd. CENTRAL INDEX KEY: 0001322587 STANDARD INDUSTRIAL CLASSIFICATION: DEEP SEA FOREIGN TRANSPORTATION OF FREIGHT [4412] IRS NUMBER: 000000000 STATE OF INCORPORATION: D0 FILING VALUES: FORM TYPE: NT 20-F SEC ACT: 1934 Act SEC FILE NUMBER: 001-32520 FILM NUMBER: 14799145 BUSINESS ADDRESS: STREET 1: 83 AKTI MIAOULI & FLESSA STR. CITY: PIRAEUS STATE: J3 ZIP: 185 38 BUSINESS PHONE: 011-30-213-014-8600 MAIL ADDRESS: STREET 1: 83 AKTI MIAOULI & FLESSA STR. CITY: PIRAEUS STATE: J3 ZIP: 185 38 FORMER COMPANY: FORMER CONFORMED NAME: Aries Maritime Transport LTD DATE OF NAME CHANGE: 20050401 NT 20-F 1 v376755_nt20f.htm NOTIFICATION OF LATE FILING

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 12b-25

NOTIFICATION OF LATE FILING

 

(Check one): ¨ Form 10-K    x Form 20-F    ¨ Form 11-K    ¨ Form 10-Q
  ¨ Form 10-D    ¨ Form N-SAR    ¨ Form N-CSR
   
  For Period Ended: December 31, 2013
   
  ¨ 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

 

NEWLEAD HOLDINGS LTD.
Full Name of Registrant
 
 
Former Name if Applicable
 
83 Akti Miaouli & Flessa Str.
Address of Principal Executive Office (Street and Number)
 
185 38 Piraeus Greece
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 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, or the transition report or portion thereof, could not be filed within the prescribed time period.

 

NewLead Holdings Ltd. (the “Registrant”) has been unable to complete its annual report on Form 20-F for the fiscal year ended December 31, 2013 (the “Form 20-F”), on a timely basis, without unreasonable effort or expense, due to the Registrant’s recent change in independent registered public accounting firm and the associated transition. The Registrant intends to file its annual report on Form 20-F no later than the 15th calendar day following the prescribed due date.

 

 

PART IV - OTHER INFORMATION

 

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

 

Antonis Bertsos, Chief Financial Officer   +30 213   014 8103
(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 o

 

(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 x   No o  

 

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.

 

The Registrant expects that net loss attributable to NewLead Holdings’ shareholders for the year ended December 31, 2013 will be at least 61% lower than net loss attributable to NewLead Holdings’ shareholders for the same period in 2012, primarily due to the results of the Registrant’s restructuring transactions and shares issued in connection with the settlement of outstanding liabilities during 2012. These results were partially offset mainly by various expenses recognized during the year ended December 31, 2013, in relation to the Registrant’s efforts to implement its business plan, a major part of which is its vertical integration strategy. The expected net loss is subject to change as the Registrant is still in process of completing its annual financial statements.

 

 

 
 

 

NewLead Holdings Ltd.

(Name of Registrant as Specified in Charter)

 

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

 

Date: April 30, 2014   By: /s/ Michail Zolotas
       

Michail Zolotas

Chief Executive Officer

 

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.