-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ph2+W8lVj0LiVbm6VdM5J6HakSCODiMKC1ZXjvllGotAPJdxviRKIaUSccaWUnJk U8urBQc7pjzxan84YOrN9A== 0000046738-02-000004.txt : 20020516 0000046738-02-000004.hdr.sgml : 20020516 20020516161603 ACCESSION NUMBER: 0000046738-02-000004 CONFORMED SUBMISSION TYPE: NTN 10Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020330 FILED AS OF DATE: 20020516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HELLER FINANCIAL INC CENTRAL INDEX KEY: 0000046738 STANDARD INDUSTRIAL CLASSIFICATION: SHORT-TERM BUSINESS CREDIT INSTITUTIONS [6153] IRS NUMBER: 361208070 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NTN 10Q SEC ACT: 1934 Act SEC FILE NUMBER: 001-06157 FILM NUMBER: 02655046 BUSINESS ADDRESS: STREET 1: 500 W MONROE ST CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 3124417000 MAIL ADDRESS: STREET 1: 500 W MONROE ST CITY: CHICAGO STATE: IL ZIP: 60661 FORMER COMPANY: FORMER CONFORMED NAME: HELLER WALTER E & CO /NEW/ DATE OF NAME CHANGE: 19850503 NT 10-Q 1 h10qnt.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): __ Form 10-K and Form 10-KSB __ Form 20-F __ Form 11-K X Form 10-Q and Form 10-QSB __ Form N-SAR For Period Ended: March 31, 2002 __ 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 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. 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: Heller Financial, Inc. - -------------------------------------------------------------------------------- Former Name if Applicable N/A - -------------------------------------------------------------------------------- Address of Principal Executive Office (Street and Number) 500 West Monroe Street - -------------------------------------------------------------------------------- City, State and Zip Code Chicago, Illinois 60661 - -------------------------------------------------------------------------------- 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 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 or Form N-SAR, 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 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 the reasons why Form 10-K or 10-KSB, 20-F, 11-K, 10-Q or 10-QSB, N-SAR, or the transition report or portion thereof could not be filed within the prescribed period. (Attach extra sheets if needed.) See attached. PART IV OTHER INFORMATION (1) Name and telephone number of person to contact in regard to this notification Randolph Brown (312) 441-7000 ------------------------------ --------------------------------------- (Name) (Area Code) (Telephone Number) (2) Have all other periodic reports required under Section 13 or 15(d) of the Securities and 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? __ Yes X No If answer is no, identify report(s). see attached. - -------------------------------------------------------------------------------- (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? see attached. __ Yes __ No 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. - -------------------------------------------------------------------------------- Heller Financial, Inc. - ------------------------------------------------------------------------------- (Name of Registrant as specified in charter) has caused this notification to be signed on its behalf by the undersigned thereunto duly authorized. Date: By: /s/ --------------------------- ------------------------------ Randolph Brown Chief Financial Officer HELLER FINANCIAL, INC. Form 12b-25 With Respect to Quarterly Report on Form 10-Q for Quarter Ended March 31, 2002 PART III The subject quarterly report on Form 10-Q for the quarter ended March 31, 2002, could not be filed because the Company has not yet filed its annual report on Form 10-K for the year ended December 31, 2001. The Company's principal accountant was not engaged to audit the financial statements until January 23, 2002, as a result of the resignation of the Company's previous principal accountant because it was not independent with respect to the Company once the Company was acquired by General Electric Capital Corporation, as reported on a current report on Form 8-K filed January 25, 2002. PART IV (2) The Company has not yet filed its annual report on Form 10-K for the year ended December 31, 2001. (3) Management cannot predict at this time whether there will be a significant change in net income for the quarter ended March 31, 2002, from the corresponding quarter in the prior year. EX-1 3 h10qnte1.txt Exhibit 1 May 16, 2002 Heller Financial, Inc. 500 West Monroe Chicago, Illinois 60661 Ladies and Gentlemen: Pursuant to Rule 12b-25 of the General Rules and Regulations under the Securities Exchange Act of 1934, we inform you that we have been furnished a copy of Form 12b-25, to be filed by Heller Financial, Inc. on or about May 16, 2002, which contains notification of the registrant's inability to file its Form 10-Q by May 15, 2002. We have read the Company's statements contained in Part III therein and we agree with the stated reasons as to why we have been unable to complete our review procedures on the Company's consolidated financial statements for the quarter ended March 31, 2002. Very truly yours, //KPMG, LLP Chicago, IL -----END PRIVACY-ENHANCED MESSAGE-----