-----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, MckgIAMhsAE3P+z3tQndC1541bt9yfGl5cuUp6YzDoRhjl9DrVeeVVD0jXn17xla yxz3F7ynakghEzX5T3gD/Q== 0000706015-97-000003.txt : 19970402 0000706015-97-000003.hdr.sgml : 19970402 ACCESSION NUMBER: 0000706015-97-000003 CONFORMED SUBMISSION TYPE: NT 10-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970401 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: FILENET CORP CENTRAL INDEX KEY: 0000706015 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 953757924 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-15997 FILM NUMBER: 97572984 BUSINESS ADDRESS: STREET 1: 3565 HARBOR BLVD CITY: COSTA MESA STATE: CA ZIP: 926261420 BUSINESS PHONE: 7149663400 MAIL ADDRESS: STREET 1: 3565 HARBOR BLVD CITY: COSTA MESA STATE: CA ZIP: 926261420 NT 10-K 1 NOTIFICATION OF LATE FILING U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 0-15997 CUSIP NUMBER 316869 10 6 (Check One): |X| Form 10-K and Form 10-KSB |_| Form 20-F |_| Form 11-K |_| Form 10-Q and Form 10-QSB |_| Form N-SAR For Period Ended: December 31, 1996 |_| 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 FILENET CORPORATION Former Name if Applicable Address of Principal Executive Office (Street and Number) City, State and Zip Code 3565 Harbor Boulevard Costa Mesa, CA 92626 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 reasons 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, 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 and Form 10-KSB, 20-F, 11-K, 10-Q and Form 10-QSB, N-SAR, or the transition report or portion thereof could not be filed within the prescribed period. The Registrant is in the process of formulating a plan to make certain changes in its internal operations which it believes are pertinent to the disclosures contained in the Registrant's Annual Report on Form 10-K for the period ended December 31, 1996. Due to the timing of the process, the Registrant was not in a position to determine the appropriateness of including the disclosure in the Registrant's Annual Report on Form 10-K and file the same on a timely basis. To avoid filing an incomplete report, the Registrant has chosen not to file the Annual Report on Form 10-K until public disclosure. Such changes will not have any impact on the Registrant's financial statements for the year ended December 31, 1996 or any other periods covered by the Annual Report on Form 10-K. Part IV--Other Information (1) Name and telephone number of person to contact in regard to this notification Mark S. St. Clare Chief Financial Officer and Sr. Vice President, Finance (Principal Financial Officer) 714-966-3577 (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 the answer is no, identify report(s). |X| Yes |_| 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. FILENET CORPORATION has caused this notification to be signed on its behalf by the undersigned thereunto duly authorized. FILENET CORPORATION April 1, 1997 By:/s/ Mark S. St. Clare Date Mark S. St. Clare, Chief Financial Officer and Sr. Vice President, Finance (Principal Financial Officer) -----END PRIVACY-ENHANCED MESSAGE-----