Notification That Quarterly Report Will Be Submitted Late (nt 10-q)
15 Novembro 2019 - 8:09AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
12b – 25
SEC
FILE NUMBER
0-51139
CUSIP
NUMBER
90207B
107
NOTIFICATION
OF LATE FILING
(Check
one):
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[ ]
Form 10-K
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[ ]
Form 20-F
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[ ]
Form 11-K
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[X]
Form 10-Q
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[ ]
Form 10-D
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[ ]
Form N-SAR
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[ ]
Form N-CSR
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For Period Ended:
September 30, 2019
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[ ] Transition
Report on Form 10-K
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[ ] Transition
Report on Form 20-F
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[ ] Transition
Report on Form 11-K
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[ ] Transition
Report on Form 10-Q
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[ ] Transition
Report on Form N-SAR
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For the Transition
Period Ended:
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Nothing
in this form shall be construed to imply that the Commission has verified any information contained herein.
If
notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:
PART
1 – REGISTRANT INFORMATION
TWO
RIVERS WATER & FARMING COMPANY
Full
Name of Registrant
3025
S. Parker Road, Suite 140
Address
of Principal Executive Office (Street and Number)
Aurora
Colorado 80014
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)
[X]
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(a)
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The
reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense
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(b)
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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
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(c)
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The
accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
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PART
III – NARRATIVE
State
below in reasonable detail why Form 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR or N-CSR, or the transition report or portion thereof,
could not be filed within the prescribed time period.
Two
Rivers Water & Farming Company (the “Company”) is unable to timely file its Quarterly Report on Form 10-Q for
the quarter ended September 30, 2019 (the “Form 10-Q”) by the prescribed November 14, 2019 due date without undue
effort and expense due to the circumstances described below.
In
January and February 2019, the Company engaged in discussions with respect to strategic alternatives that would, among other things,
strengthen and expand the Company’s business operation and enable the Company to raise additional capital, including funding
for the audit of the Company’s consolidated financial statements as of, and for the year ending, December 31, 2018 (the
“Financial Statements”). As disclosed in a Current Report on Form 8-K filed with the Securities and Exchange Commission
on February 26, 2019, the Company entered into a share exchange agreement on February 21, 2019, that facilitated the Company’s
receipt of working capital, including funding for the audit of the Financial Statements.
As
a result of these developments, however, the Company’s independent registered public accounting firm was not engaged in
sufficient time to enable the Company to file the Form 10-K within the prescribed time period without unreasonable effort or expense.
The Company and its independent registered public accounting firm are performing additional work with respect to the Financial
Statements. The Company will continue to devote the resources necessary to complete the Form 10-K as soon as practicable.
PART
IV – OTHER INFORMATION
(1)
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Name
and telephone number of person to contact in regard to this notification
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Greg
Harrington
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303
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222-1000
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Name
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Area
Code
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Telephone
Number
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(2)
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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).
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[X]
Yes
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[ ]
No
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(3)
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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?
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[ ]
Yes
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[X]
No
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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.
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Two
Rivers Water & Farming Company
Name
of Registrant as Specified in Charter)
has
caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.
Dated:
November 14, 2019
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By:
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/s/
GREG HARRINGTON
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Chief
Executive Officer
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