NT 10-K 1 sofo20210129_nt10k.htm FORM NT 10-K sofo20210129_10kt.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

 

FORM 12b-25

 

 

 

 

 

 

NOTIFICATION OF LATE FILING

 

(Check one): 

  Form 10-K   

☐   Form 20-F 

☐  Form 11-K      

 ☐ Form 10-Q 

☐  Form 10-D 

 

☐  Form N-SAR 

☐   Form N-CSR

 

 

 

 

For Period Ended:    September 30, 2020                                         

 

 

 

 

 

 

 

 

☐   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:                                                                           

 

 

 

 

 

 

 

           

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: Form 10-K/A containing information required by Items 10-14 of Part III of Form 10-K.

 


 

PART I -- REGISTRANT INFORMATION

 

 Sonic Foundry, Inc.                                                                                                                                           

Full Name of Registrant

 

                                                                                                                                             

Former Name if Applicable

 

 222 W Washington Ave                                                                                                                                           

Address of Principal Executive Office (Street and Number)

 

 Madison, WI 53703                                                                                                                                           

City, State and Zip Code

 

 

 

PART II -- RULE 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;

 

 

 
☒     

 

(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.

 

Due to time constraints, which could not be rectified quickly without unreasonable time and expense, the Company plans to file its Form10-K/A containing information required by Items 10-14 of Part III of Form 10-K within the 15-day extension window. The impact of COVID-19 has created circumstances where the receipt of information from third parties has in some cases been delayed and completion of certain tasks related to finalization of the 10-K/A has been impacted.

 

PART IV -- OTHER INFORMATION

 

(1)

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

 

Kelsy Boyd

 

608

 

443-1614

(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).

 

☒   Yes    ☐   No

 

 

 

Form 10-K Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2014, Form 10-Q Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended March 31, 2015 and Form 11-K Annual Report Pursuant to Section 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2014.

 

(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.

 

 

 

  Sonic Foundry, Inc.  

(Name of Registrant as Specified in Charter)

 

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

 

Date: January 29, 2021

By:

/s/Kelsy Boyd 

 

 

 

Name:  Kelsy Boyd 

 

 

 

Title:    CFO     

 

  

    

ATTENTION

 

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