Notification That Quarterly Report Will Be Submitted Late (nt 10-q)
November 15 2018 - 6:00AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 12b-25
NOTIFICATION OF LATE FILING
SEC
File Number
001-37642
CUSIP
Number
29272A206
(Check One):
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☐ Form 10-K
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☐ Form 20-F
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☐ Form 11-K
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☒ Form 10-Q
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☐ Form 10-D
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☐ Form N-SAR
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☐ Form N-CSR
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For Period Ended:
September 30, 2018
☐ 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: N/A
PART I—REGISTRANT INFORMATION
Ener-Core, Inc.
Full Name of Registrant
Former Name if Applicable
30100 Town Center
Dr, Suite O-209
Address of Principal Executive Office
(Street
and Number)
Laguna Niguel, California 92677
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.)
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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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☒
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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 accountant’s 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.
(Attach extra Sheets if Needed)
The Registrant was unable to
file its Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2018 by the prescribed date without unreasonable
effort or expense due to delays experienced by the Registrant’s independent registered public accounting firm in completing
its review of the Registrant’s financial statements and related supporting documentation. The Registrant plans to file the
Form 10-Q no later than the fifth calendar day following the prescribed due date, as set forth in Rule 12b-25(b) under the Securities
Exchange Act of 1934, as amended.
PART IV—OTHER INFORMATION
(1) Name and telephone number of person
to contact in regard to this notification:
Domonic J. Carney
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(949)
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732-4400
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(Name)
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(Area Code)
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(Telephone Number)
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(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 ☒ 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 ☒ 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.
A reasonable estimate of the
financial results for the three and nine months ended September 30, 2018 cannot be made due a delay in the review of the Registrant’s
financial results by its independent registered public accounting firm.
Ener-Core, Inc.
(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 15, 2018
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/s/ Domonic J. Carney
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By:
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Domonic J. Carney
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Title:
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Chief Financial Officer
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