SEC Annual Report Timely Filing Criteria

Added on by C. Maoxian.

From the NYSE Listed Company Manual:

A company that fails to file its annual report (Forms 10-K, 10-KSB, 20-F, 40-F or N-CSR) with the SEC in a timely manner will be subject to the following procedures:
Once the Exchange identifies that a company has failed to file a timely periodic annual report with the SEC by the later of (a) the date that the annual report was required to be filed with the SEC by the applicable form or (b) if a Form 12b-25 was timely filed with the SEC, the extended filing due date for the annual report, the Exchange will notify the company in writing of the procedures set forth below. For purposes of this Section 802.01E, the later of these two dates will be referred to as the "Filing Due Date."
Within five days of receipt of this notification, the company will be required to (a) contact the Exchange to discuss the status of the annual report filing, and (b) issue a press release disclosing the status of the filing, noting the delay, the reason for the delay and the anticipated filing date, if known. If the company has not issued the required press release by the fifth day following receipt of this notification, the Exchange will itself issue a press release stating that the company has failed to timely file its annual report with the SEC.
During the six-month period from the Filing Due Date, the Exchange will monitor the company and the status of the filing, including through contact with the company, until the annual report is filed. If the company fails to file the annual report within six months from the Filing Due Date, the Exchange may, in its sole discretion, allow the company's securities to be traded for up to an additional six-month trading period depending on the company's specific circumstances. If the Exchange determines that an additional trading period of up to six months is not appropriate, suspension and delisting procedures will commence in accordance with the procedures set out in Section 804.00 of the Listed Company Manual. A company is not eligible to follow the procedures outlined in Sections 802.02 and 802.03 with respect to this criteria.
In determining whether an additional up to six-month trading period is appropriate, the Exchange will consider the likelihood that the filing can be made during the additional period, as well as the company's general financial status, based on information provided by a variety of sources, including the company, its audit committee, its outside auditors, the staff of the SEC and any other regulatory body. The Exchange strongly encourages companies to provide ongoing disclosure on the status of the annual report filing to the market through press releases, and will also take the frequency and detail of such information into account in determining whether an additional six-month trading period is appropriate.
If the Exchange determines that an additional up to six-month trading period is appropriate and the company fails to file its periodic annual report by the end of the additional period, suspension and delisting procedures will commence in accordance with the procedures set out in Section 804.00.

NQ Mobile Share Ownership

Added on by C. Maoxian.

Shares Outstanding: 51,013,592

Free Float: 50,324,842

185 Investment Managers hold 34,140,568 shares representing 66.92% of outstanding shares.

22 Brokerage Firms hold 4,812, 990 shares representing 9.43% of outstanding shares.

2 Strategic Entities hold 688,750 shares representing 1.35% of outstanding shares.

Top Ten Investors:

Altimeter Capital Management, LLC hold 12.31% of outstanding shares with 6,277,552 shares (31-Mar-2014)

ChinaRock Capital Management Limited (Sibling) hold 11.51% of outstanding shares with 5,872,351 shares (02-Jun-2014)

Farallon Capital Management, L.L.C. hold 5.51% of outstanding shares with 2,810,931 shares  (30-Apr-2014)

Toro Investment Partners, LP hold 4.44% of outstanding shares with 2,265,793 shares  (31-Jan-2014)

Morgan Stanley & Co. LLC hold 3.30% of outstanding shares with 1,683,904 shares  (31-Mar-2014) -- Brokerage Firm

Beijing Century GSR Ventures Management Co., Ltd. hold 3.06% of outstanding shares with 1,563,022 shares  (06-Sep-2013) [Golden Sand River 金沙江]

Kylin Management LLC hold 2.99% of outstanding shares with 1,522,965 shares  (31-Mar-2014) [366 Madison Avenue 16th Floor NYC]

CR Intrinsic Investors, L.L.C. hold 2.62% of outstanding shares with 1,335,855 shares (31-Mar-2014) -- [SAC affiliate]

Oberweis Asset Management, Inc. hold 2.60% of outstanding shares with 1,324,179 shares  (31-Mar-2014)

Susquehanna Financial Group, LLP hold 2.47% of outstanding shares with 1,259,088 shares (31-Mar-2014) -- Brokerage Firm

 

Top Ten Funds:

DNB Asian Small Cap hold 1.76% of outstanding shares with 897,793 shares (30-Apr-2014)

Oberweis China Opportunities hold 0.94% of outstanding shares with 480,000 shares (31-Mar-2014)

Statens Pensjonsfond Utland hold 0.88% of outstanding shares with 447,568 shares (31-Dec-2013)

PNC International Equity Fund hold 0.77% of outstanding shares with 391,905 shares (30-Apr-2014)

Oberweis Emerging Growth Portfolio hold 0.30% of outstanding shares with 151,800 shares (31-Mar-2014)

PowerShares Golden Dragon China Portfolio hold 0.30% of outstanding shares with 151,335 shares (31-May-2014)

Grandeur Peak International Opportunities Fund hold 0.21% of outstanding shares with 104,666 shares (31-Jan-2014)

Oberweis Micro-Cap Portfolio hold 0.20% of outstanding shares with 102,700 shares (31-Mar-2014)

DNB Global Emerging Markets SRI hold 0.19% of outstanding shares with 96,494 shares (30-Apr-2014)

DNB Fund - China Century hold 0.10% of outstanding shares with 51,672 shares (Apr-2014)