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Re: hnbadger1 post# 99848

Wednesday, 04/23/2014 12:10:37 PM

Wednesday, April 23, 2014 12:10:37 PM

Post# of 130502
Regarding the late filing status, I've been checking the daily DTCC Updates to the List of OTC Cleared Securities for the ticker change, and so far have found nothing. This notice is issued daily to brokers and market makers, usually before the market opens. The latest notice on their website is for April 22. No notice has been issued for today, which is odd.

http://www.dtcc.com/~/media/Files/pdf/2014/4/22/OTC-076.ashx

Last year, the company missed the filing deadline on April 16. The 10-K filing date was listed as April 17. The ticker change to AMBSE was listed in the DTCC notice on April 19 (a Friday), and was listed again on April 22 to change back to AMBS.

I plan to continue checking the notices this week, but if we don't see anything by Friday, I'd say the company was not considered late, possibly due to an extended grace period given by the SEC regarding the recent changes in CFO and auditing firm.