Return to Forms List

Form NT 11-K/A Filings

SEC Form NT 11-K/A is an amendment filing used to revise or supplement a previously filed NT 11-K notice regarding the late filing of a Form 11-K annual report. It is submitted under Rule 12b-25 when the original late notice for a Form 11-K needs to be corrected or updated.

+ Create Alert
Rows per page
ID Form Filer Name Filing Agent Date Actions
No Data Found

What Is SEC Form NT 11-K/A?

SEC Form NT 11-K/A is an important filing required under Rule 12b-25 of the Securities Exchange Act of 1934. It is used to amend a previously filed NT 11-K notice when a plan or filer needs to correct, update, or supplement information about its inability to timely file all or part of a required Form 11-K annual report.

This form is typically filed when the original late notice contained incomplete or inaccurate information, or when the filer needs to update the explanation for the delay or the expected filing timeline for the Form 11-K. Companies and researchers often monitor these events through late filing notices and related annual reports.

Form NT 11-K/A ensures transparency by formally updating investors and regulators after an NT 11-K has already been filed. It does not replace Form 11-K, but it amends the earlier late notice and may clarify the reasons for the delay or other details related to the pending annual report.

Key elements typically found in SEC Form NT 11-K/A include:

  • Name of the plan, issuer, and related filing identifiers
  • Statement that the filing is an amendment to a prior NT 11-K
  • Period ended for the related Form 11-K annual report
  • Updated or corrected reason for the delayed Form 11-K filing
  • Revised expected timing for filing the Form 11-K, if provided
  • Any required exhibit or accountant statement, if applicable

SEC Form NT 11-K/A Filing Deadlines

SEC Form NT 11-K/A does not have a standalone fixed filing deadline like an initial periodic report. It is filed as needed to amend a previously submitted NT 11-K, while the related Form 11-K generally remains subject to the Rule 12b-25 extension framework and the underlying Form 11-K due date.

Filing Stage Timeline Details
Original NT 11-K Filing On or before the prescribed Form 11-K due date. Initial notice that the filer cannot timely submit all or part of Form 11-K.
NT 11-K/A Amendment Filing As needed. Filed to correct or supplement a previously filed NT 11-K and must be clearly identified as an amendment.
Related Form 11-K Extended Due Date Within 15 calendar days after the prescribed due date, if Rule 12b-25 conditions are satisfied. Applies to the underlying Form 11-K annual report, not as a separate extension created by the amendment itself.
Standard Form 11-K Due Date 180 days after the plan’s fiscal year end for plans subject to ERISA. The amendment filing updates the late notice but does not replace the annual report requirement.

Key Things to Know About Form NT 11-K/A Filing Rules

  • Amendments Update an Existing Notice: Form NT 11-K/A is used to amend a previously filed NT 11-K rather than to make an original late filing notice.
  • Not a Substitute for Form 11-K: The amendment does not replace the required Form 11-K annual report, which still must be filed.
  • Clearly Identified as an Amendment: The Form 12b-25 instructions state that amendments must also be filed on Form 12b-25 and should be clearly identified as amendment notifications.
  • Correct Information Need Not Be Restated: Amendments do not need to restate information that was previously furnished correctly.
  • Used When Information Changes or Needs Correction: Filers use NT 11-K/A when they need to revise narrative disclosure, timing information, or other details in an earlier NT 11-K filing.

To monitor late annual plan reports and amendment notices, our platform helps you track key SEC filings like Form NT 11-K/A, Form NT 11-K, and Form 11-K, ensuring you stay informed about reporting delays and related updates.

From the Blog

View All