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Monday, July 28, 2014 8:05:49 AM
I've read more than a couple and I made the referenced statement comfortably:
"You state that their absence is because they were never filed."
That's right.
"does it happen that often where filings are referenced, but missing?"
In my experience, no. I haven't seen it before.
"Is it possible the SEC just made a mistake somehow not making the exhibits available?"
No. The company files the exhibits via the mechanics of the Edgar system. The SEC doesn't even have the opportunity to make a mistake.
By the way, it is the company that continues to reference the missing documents in EVERY 10-K, not the SEC. Why do you suppose they do that?
"Do you think they would allow an incomplete filing?"
Of course. See previous response.
"If the SEC doesn't see a problem, does that mean there is none, or they haven't looked closely?"
This and the previous 2 questions are addressed by one simple fact: The SEC only reviews filings AFTER the issuer makes them and they appear on Edgar, not before.
(I believe that there are rare exceptions to this, such as a name change, which is technically not a filing but rather an identification change to the Edgar heading.) The SEC has NO responsibility for the material included in or excluded from an original filing....one cannot shift the blame to them for such things.
"What does the SEC say if you ask them about the missing documents?"
I don't know. The SEC is pretty much all investors have in terms of official protection.....other than the courts.....so I don't like to disparage them. That said, I have only asked 2 questions through their website over the past year and both were answered so long after they were asked that I had forgotten the questions (which were not repeated with their response) by that time. As a concerned shareholder, you might consider asking them yourself.
I hope that answers your questions.
FYI:
You mentioned 3 documents that are listed in the most recent 10-K as "Incorporated by reference to the Company’s registration statement on Form 10-SB, filed with the Securities Commission on November 14, 2006, as amended" which are not so listed, but there are actually 5 such documents.
If you're really interested in this issue, you can see the original FORM 10-SB General Form for Registration of Securities and all of its exhibits here:
http://www.sec.gov/Archives/edgar/data/1379006/000114420406047712/0001144204-06-047712-index.htm
The initial correspondence from the SEC regarding that filing can be seen here:
http://www.sec.gov/Archives/edgar/data/1379006/000000000006060570/filename1.pdf
Those are the first two documents in the company's Edgar file, which can be seen in its entirety here:
http://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0001379006&type=&dateb=&owner=exclude&start=0&count=40
It may be obvious to you, but the SEC does not review every filing. However, I believe that a FORM 10-SB filing is ALWAYS reviewed and inevitably leads to correspondence from the SEC that results in an ongoing exchange of correspondence and amendments, as it did here (3 letters from the SEC including follow-ups, 3 responses from the company and 3 amended filings). It's all in the linked file, which should answer any additional questions that you might have.
"I ated the purple berries"
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