Form 12b-25 September 30, 2011 Form 10-K

December 22, 2011

/s/ Robert L. Bauman

Robert L. Bauman

President and Chief Executive Officer

0000047307-11-000014.txt : 20111223 0000047307-11-000014.hdr.sgml : 20111223 20111223091400 ACCESSION NUMBER: 0000047307-11-000014 CONFORMED SUBMISSION TYPE: NT 10-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111223 DATE AS OF CHANGE: 20111223 EFFECTIVENESS DATE: 20111223 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HICKOK INC CENTRAL INDEX KEY: 0000047307 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 340288470 STATE OF INCORPORATION: OH FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-00147 FILM NUMBER: 111279041 BUSINESS ADDRESS: STREET 1: 10514 DUPONT AVE CITY: CLEVELAND STATE: OH ZIP: 44108 BUSINESS PHONE: 2165418060 MAIL ADDRESS: STREET 1: 10514 DUPONT AVE CITY: CLEVELAND STATE: OH ZIP: 44108 FORMER COMPANY: FORMER CONFORMED NAME: HICKOK ELECTRICAL INSTRUMENT CO DATE OF NAME CHANGE: 19920703 NT 10-K 1 NT10-KForm12b-25.htm NT10K FORM 12B-25 NOTIFICATION OF LATE FILING Form 12b-25 September 30, 2011 Form 10-K

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 ¨ N-CSR

		For Period Ended: September 30, 2011

		¨ 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

Hickok Incorporated

Full Name of Registrant

10514 Dupont Avenue

Address of Principal Executive Office (Street and Number)

Cleveland, Ohio 44108

City, State and Zip Code

PART II — RULE 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 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, 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. (Attach extra Sheets if Needed)

Hickok Incorporated (the “Company”) has determined that it is unable to file its Annual Report on Form 10-K for the year ended September 30, 2011 (the “Form 10-K”) by the prescribed date without unreasonable effort or expense. The reason for the delay is to allow the Company additional time to gather information required for an accurate and full completion of the Annual Report on Form 10-K. A proposed financing transaction that is currently expected to be completed within the next two weeks may, if completed, impact the Company's financial statements for fiscal 2011 and other information required to be disclosed in the Form 10-K. The filing delay is not the result of the need to restate any prior period financial results. At this point, the company expects to be able to file within the additional time allowed by the Form 12b-25.

PART IV — OTHER INFORMATION

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


Robert L. Bauman	(216)	541-8060
(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 x 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.

Based on unaudited, preliminary estimates, the Company expects to report a net loss of approximately $673,000 for the year ended September 30, 2011, compared to a net loss of approximately $949,000 for the year ended September 30, 2010. The following table sets forth certain unaudited, preliminary financial information for fiscal 2011 compared to the audited data for fiscal 2010.

	Year ended September 30,
	2011 Unaudited	2010

Net sales	$5,068,613	$5,259,012
Income (loss) before Income taxes	(672,535)	(949,496)
Income (recovery of) taxes	-	-
Net income (loss)	(672,535)	(949,496)

Basic income (loss) per share	(.54)	(.76)
Diluted income (loss) per share	(.54)	(.76)

Weighted average shares outstanding	1,248,095	1,248,095

The current year results are primarily the result of lower revenues offset in part by reduced expenses for the last half of fiscal 2011. The Company’s fiscal 2010 Form 10-K included an explanatory paragraph from the Company’s independent registered public accounting firm expressing substantial doubt about its ability to continue as a going concern. It is possible that, if completed, the proposed financing transaction referenced above could have an effect on the Company's independent registered public accounting firm expressing an opinion on the Company's ability to continue as a going concern.

Note: This Form 12b-25 contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, as amended. These forward-looking statements are based on management’s current intent, belief, expectations, estimates and projections. These statements are not guarantees of future performance and involve risks, uncertainties, assumptions and other factors that are difficult to predict. Actual results may vary materially from what is expressed in or indicated by the forward-looking statements.

Hickok Incorporated

(Name of Registrant as Specified in Charter)

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