NT 10-K 1 form_12b25.htm NT 10-K NT 10-K

Washington, D.C. 20549
FORM 12b-25
Commission File Number: 001-05978

(Check one): x 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, 2015

¨ 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: ________________________________

SIFCO Industries, Inc.
Full Name of Registrant
Former Name if Applicable
970 East 64th Street
Address of Principal Executive Office (Street and Number)
Cleveland, Ohio 44103
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)
The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense
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
The accountant's statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
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 identified deficiencies in its internal controls during its year-end closing process and additional time was required to evaluate the impact on its consolidated financial statements.  The evaluation resulted in a delay in completing the financial statements, and the audit procedures related thereto.  As such, the Registrant is unable to file its Form 10-K within the prescribed time period, which delay could not be eliminated by the Company without unreasonable effort and expense.  In accordance with Rule 12b-25 of the Securities Exchange Act of 1934, the Company intends to file its Form 10-K no later than the fifteenth calendar day following the prescribed due date. 
The Company expects to be able to complete the work necessary to file its Form10-K for the fiscal year ended September 30, 2015 within the fifteen day extension period provided by Rule 12b-25.

Name and telephone number of person to contact in regard to this notification
Salvatore Incanno
(Area Code)
(Telephone Number)

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). ý Yes        ¨ No

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        ý 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.

This Form 12b-25 contains “forward-looking” statements within the meaning of the Private Securities Litigation Reform Act of 1995. Any statement that is not of historical fact may be deemed “forward-looking”. Words such as “expect”, “believe”, “project”, “plan”, “anticipate”, “intend”, “objective”, “goal”, “view”, and similar expressions identify forward-looking statements. These


statements are based on management’s current views and assumptions of future events and financial performance and involve a number of risks and uncertainties, many outside of the Company’s control that could cause actual results to materially differ from those expressed or implied. The Company undertakes no obligation to publicly update or revise any forward-looking statements contained herein. These statements speak only as of the date made.


SIFCO Industries, 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: December 14, 2015

/s/ Salvatore Incanno
Vice President - Finance and Chief Financial Officer
(Principal Financial Officer)
Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).