Document

 
 
 
 
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 12b-25
 
NOTIFICATION OF LATE FILING
 
 
 
 

SEC FILE NUMBER
0001365555

CUSIP NUMBER
032359309


 (Check one):
 
 
o Form 10-K
o Form 20-F
o Form 11-K
x Form 10-Q
o Form 10-D
 
 
 
 
o Form N-SAR
 
o Form N-CSR
 
 
 
 
 
 
 
 
 
 
 
For Period Ended:
 September 30, 2016
 
 
 
 
o Transition Report on Form 10-K
 
 
 
 
 
 
 
 
o Transition Report on Form 20-F
 
 
 
 
 
 
 
 
o Transition Report on Form 11-K
 
 
 
 
 
 
 
 
o Transition Report on Form 10-Q
 
 
 
 
 
 
 
 
o Transition Report on Form N-SAR
 
 
 
 
 
 
 
 
For the Transition Period Ended:
 
 
 
 
 
 
 
 
 
 
 
Read Instructions (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:


 

PART I — REGISTRANT INFORMATION
 
 AmTrust Financial Services, Inc.
Full Name of Registrant
 
 
Former Name if Applicable
 
 59 Maiden Lane, 43rd Floor
Address of Principal Executive Office (Street and Number)
 
New York, NY 10038
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)
 
 
 
(a)
 
The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense
 
x
 
(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.

Registrant is unable to file, without unreasonable effort or expense, its Quarterly Report on Form 10-Q for the period ended September 30, 2016 (the “Form 10-Q”). Additional time is needed for the Registrant to compile and analyze supporting documentation in order to complete the Form 10-Q, specifically related to unrealized gains (losses) on investments and foreign currency items in the Registrant’s Consolidated Statement of Comprehensive Income, and in order to permit the Registrant’s independent registered public accounting firm to complete its review of the unaudited consolidated financial statements included in the Form 10-Q. In addition, the Registrant identified certain control deficiencies related to the items specified above, and management is reviewing and evaluating these deficiencies. The Registrant undertakes the responsibility to file its Form 10-Q no later than the fifth calendar day after its prescribed due date.
 

 

PART IV — OTHER INFORMATION
 
(1)
 
Name and telephone number of person to contact in regard to this notification
 
 

 Ronald E. Pipoly, Jr., Chief Financial Officer
 
 

212
 
 

220-7120
 
 
(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). x Yes o 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? o Yes x 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.
 

 


 

AmTrust Financial Services, 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 10, 2016
 
 
By
/s/ Ronald E. Pipoly, Jr.
 
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 representative’s authority to sign on behalf of the registrant shall be filed with the form.
 
 
 
 
 
 
ATTENTION 
Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See 18 U.S.C. 1001).