-----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, VhHRWyCEHQAgLtm/a8VJQuw2iHHy+b6HunIjr8tRRCg1olch+bsUPzFr2tOEuZHR 8LVAV1bE7PtZvtySTBt9DA== 0000918543-99-000008.txt : 19991102 0000918543-99-000008.hdr.sgml : 19991102 ACCESSION NUMBER: 0000918543-99-000008 CONFORMED SUBMISSION TYPE: NT 10-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990731 FILED AS OF DATE: 19991101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE GROUP INC CENTRAL INDEX KEY: 0000918543 STANDARD INDUSTRIAL CLASSIFICATION: HOTELS, ROOMING HOUSE, CAMPS & OTHER LODGING PLACES [7000] IRS NUMBER: 99037845 STATE OF INCORPORATION: UT FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: SEC FILE NUMBER: 000-23338 FILM NUMBER: 99738105 BUSINESS ADDRESS: STREET 1: 745 FORT ST STE 2110 CITY: HONOLULU STATE: HI ZIP: 96813 BUSINESS PHONE: 8085240900 NT 10-K 1 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12B-25 NOTIFICATION OF LATE FILING (Check One): [ X ] Form 10-K of Form 10-KSB [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q or Form 10-QSB [ ] Form N-SAR For the Period Ended : July 31, 1999 [ ] Transition Report on Form 10-K or Form 10-KSB [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form 10-Q [or Form 10-QSB] [ ] Transition Report on Form N-SAR For the Transition Period Ended : 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: Page 1 of 4 sequentially numbered pages Part I - Registration Information THE CASTLE GROUP, INC. (Full Name of Registrant) 745 Fort Street #1000 Honolulu, Hawaii 96813 (Address and Principal Executive Office) 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 or Form 10-KSB, 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 Form 10-QSB], or portion thereof will be filed on or before the fifth calendar day following the prescribed due date; and [ x ] (c) The accountant's statement or other exhibit required by Rule 12b-25(c) has been attached if applicable. Part III-Narrative The audited financial statements could not be completed before the due date of the Form 10K-SB. Certain audit procedures could not be completed without unreasonable effort or expenses. The audit procedures will be completed and the 10K-SB will be filed on or before the fifteenth calendar day following the due date of the filing. The accountant's statement has been attached 2 PRICEWATERHOUSECOOPERS LLP 999 Bishop Street 19th Floor Honolulu, Hawaii 96813 Mr. Michael S. Nitta Chief Financial Officer The Castle Group, Inc. 745 Fort Street, Tenth Floor Honolulu, Hawaii 96813 October 29, 1999 Dear Mr. Nitta: You have furnished us with a copy of your "Notification of Late Filing" on Form 12b-25 dated October 29, 1999. We are in agreement with the comments under Part III of the Form with respect to the reasons why we are unable to furnish our report on the financial statements of The Castle Group, Inc. and Subsidiary on or before the date the Form 10-KSB of The Castle Group, Inc. for the year ended July 31, 1999 is required to be filed. /s/ PricewaterhouseCoopers LLP 3 Part IV-Other Information (1) Name and telephone number of person to contact in regard to this notification. Michael S. Nitta (808) 524-0900 - --------------------- ------------------ (Name) (Telephone Number) (2) Have all other periodic reports required [x] Yes [ ] No under Section 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). (3) Is it anticipated that any significant [ ] Yes [x] No change in results of operation 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? 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 CASTLE GROUP, INC. (Name of Registrant as specified in its charter) has caused this notification to be signed on its behalf by the undersigned thereunto duly authorized. Date: October 29, 1999 By /s/ Michael S. Nitta ------------------------------ Michael S. Nitta Chief Financial Officer 4 -----END PRIVACY-ENHANCED MESSAGE-----