-----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, Atp0sN783oLIooEWMGhot5EYw0feJCtup5VW5sKAlPPchC0cDxPKWR1xlymboAMH GsbfTdj3h26c9Drf2b0STA== 0001104659-07-082456.txt : 20071113 0001104659-07-082456.hdr.sgml : 20071112 20071113155420 ACCESSION NUMBER: 0001104659-07-082456 CONFORMED SUBMISSION TYPE: NT 10-Q PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071113 DATE AS OF CHANGE: 20071113 EFFECTIVENESS DATE: 20071113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN LOCKER GROUP INC CENTRAL INDEX KEY: 0000008855 STANDARD INDUSTRIAL CLASSIFICATION: PARTITIONS, SHELVING, LOCKERS & OFFICE AND STORE FIXTURES [2540] IRS NUMBER: 160338330 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-Q SEC ACT: 1934 Act SEC FILE NUMBER: 000-00439 FILM NUMBER: 071238101 BUSINESS ADDRESS: STREET 1: 608 ALLEN STREET CITY: JAMESTOWN STATE: NY ZIP: 14701 BUSINESS PHONE: 7166649600 MAIL ADDRESS: STREET 1: 608 ALLEN STREET CITY: JAMESTOWN STATE: NY ZIP: 14701 FORMER COMPANY: FORMER CONFORMED NAME: AVM CORP DATE OF NAME CHANGE: 19850520 NT 10-Q 1 a07-29165_1nt10q.htm NOTICE OF INABILITY TO TIMELY FILE A FORM 10-Q

 

 

 

 

 

OMB APPROVAL

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 12b-25

 

NOTIFICATION OF LATE FILING

 

OMB Number: 3235-0058
Expires: April 30, 2009
Estimated average burden hours per response . . . 2.50

SEC FILE NUMBER

CUSIP NUMBER

 

(Check one):

 

o Form 10-K

 

o Form 20-F

 

o Form 11-K

 

x Form 10-Q

 

o Form 10-D

 

 

o Form N-SAR

 

o Form N-CSR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

For Period Ended:

September 30, 2007

 

 

o Transition Report on Form 10-K

 

 

 

 

 

 

o Transition Report on Form 20-F

 

 

 

 

 

 

o Transition Report on Form 11-K

 

 

 

 

 

 

o Transition Report on Form 10-Q

 

 

 

 

 

 

o Transition Report on Form N-SAR

 

 

 

 

 

 

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

 

American Locker Group Incorporated

Full Name of Registrant

 

 

Former Name if Applicable

 

815 South Main Street

Address of Principal Executive Office (Street and Number)

 

Grapevine, Texas 76051

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

o

(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.

 

As previously disclosed in the Company’s Annual Report on Form 10-K for its fiscal year ended December 31, 2006, which was filed with the Securities and Exchange Commission on September 4, 2007, in fiscal 2005 the Company’s Board of Directors adopted a restructuring plan to reduce annual selling, general and administrative expenses. Pursuant to that restructuring plan, in September 2005, the Company centralized and relocated many financial reporting functions and all administrative functions to its new headquarters in Grapevine, Texas. The logistics involved in implementing this centralization and relocation contributed to the difficulties the Company has experienced in completing the Company’s requisite financial statements for inclusion in its Annual Report on Form 10-K for the fiscal year ended December 31, 2005 and, in turn, the requisite interim financial statements of the Company for inclusion in its Quarterly Reports on Form 10-Q for the fiscal quarters ended March 31, 2006, June 30, 2006 and September 30, 2006, its Annual Report on Form 10-K for the fiscal year ended December 31, 2006 and its Quarterly Reports on Form 10-Q for the fiscal quarters ended March 31, 2007, June 30, 2007 and September 30, 2007. Additionally, the logistical challenges presented by the previously disclosed change in the Company’s independent registered public accounting firm in late September 2005 and the previously disclosed resignation of the Company’s Chief Financial Officer in March 2006 further contributed to the Company’s delay in filing its required periodic reports.

 


 

As previously disclosed, the Company engaged Travis, Wolff & Company, LLP to serve as its independent registered public accounting firm for the fiscal years ending December 31, 2005 and 2006.  During the quarter ended September 30, 2007, Travis, Wolff & Company, LLP completed the audits of the Company’s financial statements for the fiscal years ended December 31, 2005 and 2006, which enabled the Company to prepare and file its Annual Reports on Form 10-K for the 2005 and 2006 fiscal years.  With these audits completed, and with the Annual Reports on Form 10-K for the 2005 and 2006 fiscal years filed, the Company is now diligently working to complete its quarterly financial statements for the interim periods during the 2006 and 2007 fiscal years, including the fiscal quarter ended September 30, 2007, and filing the related Quarterly Reports on Form 10-Q for the quarters then ended. The Company anticipates filing during the fourth quarter of 2007 all of the delayed Quarterly Reports on Form 10-Q for the fiscal 2006 and 2007 interim periods, at which point the Company expects to be current with the filing of its periodic reports.

 

SEC 1344 (03-05)

Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 


 

(Attach extra Sheets if Needed)

PART IV — OTHER INFORMATION

 

(1)

 

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

 

 

Edward F. Ruttenberg

 

817

 

329-1600

 

 

(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).

 

 

 

 

 

Form 10-Q for the period ending June 30, 2007
Form 10-Q for the period ending March 31, 2007
Form 10-Q for the period ending September 30, 2006

 

 

 

o 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?

 

 

 

 

 

 

 

 

 

o 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.

 

American Locker Group Incorporated

(Name of Registrant as Specified in Charter)

 

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

 

Date

November 13, 2007

 

By

/s/ Edward F. Ruttenberg

 

 

 

 

Printed Name: Edward F. Ruttenberg

 

 

 

 

Title:

Chairman, Chief Executive Officer, Chief Operating
Officer and Treasurer

 

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.

 

 

ATTENTION

 

Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).

 

2

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