There aren't too many things about this case that are "clear," and this issue is no exception. The Receiver candidate/initial Trustee DID take possession of the last 10Q. HE chose not to make the filing to the SEC, according to what he wrote in his Initial Report to the bankruptcy judge. It appears that there was a NOBO/OBO list run in association with this filing. Management would have had no input into generating the shareholder list, and there was no reason why it couldn't have been filed.