- Notification that Quarterly Report will be submitted late (NT 10-Q)
November 12 2008 - 5:03AM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25
NOTIFICATION OF LATE FILING
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OMB APPROVAL
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OMB Number: 3235-0058
Expires: April 30, 2009
Estimated average burden
hours per response . . . 2.50
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SEC FILE
NUMBER
001-11914
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CUSIP NUMBER
885218107
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(Check One)
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¨
Form 10-K
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Form
20-F
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Form 11-K
x
Form 10-Q
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Form 10-D
¨
Form N-SAR
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Form
N-CSR
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For Period Ended:
September 30, 2008
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¨
Transition Report on Form 10-K
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¨
Transition Report on Form 20-F
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¨
Transition Report on Form 11-K
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¨
Transition Report on Form 10-Q
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¨
Transition Report on Form N-SAR
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For the Transition Period Ended:
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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.
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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
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Thornburg Mortgage, Inc.
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Full Name of Registrant
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Former Name if Applicable
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150 Washington Avenue, Suite 302
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Address of Principal Executive Office
(Street and Number)
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Santa Fe, New Mexico 85701
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City, State and Zip Code
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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)
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x
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(a)
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The reasons described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
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(b)
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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
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(c)
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The accountants statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
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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.
The Registrant requires additional time to complete the
financial reporting for the securities that we issued in connection with the March 31, 2008 financing transaction that was disclosed on the Registrants Current Reports on Form 8-K and 8-K/A filed on April 2, 2008 and April 4, 2008, and in the
Form 10-Q for the quarters ended March 31, 2008 and June 30, 2008 (the Financing). In addition, the Registrant has faced shortages in its finance and accounting staff to assist with the complicated accounting and financial reporting
related to the Financing and other financial analysis and reporting required as a result of the continued turmoil in the mortgage industry affecting the Registrants business. Due to the reasons described above, the Registrant could not timely
file its Quarterly Report on Form 10-Q for the quarter ended September 30, 2008, on or prior to November 10, 2008, which is the prescribed filing deadline for its Form 10-Q, without unreasonable effort or expense. The Registrant currently expects to
file its Quarterly Report on Form 10-Q no later than the fifth calendar day following the prescribed due date.
PART IV OTHER INFORMATION
(1)
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Name and telephone number of person to contact in regard to this notification
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Clarence G. Simmons, III
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(505)
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989-1900
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(Name)
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(Area Code)
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(Telephone Number)
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(2)
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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).
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Yes
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No
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(3)
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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?
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Yes
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No
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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 Registrant currently anticipates that it will report a significant change in its results of
operations for the quarter ended September 30, 2008 from the same quarter in the previous fiscal year as the accounting related to the Financing will be reflected in the current period and was not in the corresponding period for the last fiscal
year. There also continues to be significant volatility in the mortgage industry which also impacts the Registrants results of operations.
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Thornburg Mortgage, Inc.
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(Name of Registrant as Specified in Charter)
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has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.
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Date
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November 10, 2008
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By
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/s/ Larry A. Goldstone
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Larry A. Goldstone
President and Chief Executive
Officer
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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 representatives authority to sign on behalf of the registrant shall be filed with the form.
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ATTENTION
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Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).
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