NYSE Noncompliant Issuers

NYSE Regulation publishes a list of issuers that are noncompliant with NYSE quantitative/qualitative continued listing standards (collectively “.BC”) or that are delayed in filing an annual or interim report required pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (a late filer or “.LF”). 

Quantitative/qualitative deficiencies and delinquencies:  An issuer/issue is added to the list five business days after NYSE Regulation notifies the issuer of deficiency or delinquency and is removed from the list one business day after the issue is resolved or the issuer is determined to be in good standing.

Corporate governance deficiencies:  An issuer/issue is added to the list seven business days after NYSE Regulation notifies the issuer of the deficiency; if the noncompliance results from a death or illness of a director, the issuer is added to the list six months after the event.  An issue is removed from the list one business day after it is resolved and an issuer is removed from the list one business day after it is determined to be in compliance with the corporate governance listing standards.

Two indicators are disseminated to identify an issuer's noncompliance with the continued listing standards.  A .BC indicator is used for an issuer that is below compliance with the continued listing standards and a .LF indicator is used for an issuer that has failed to make a timely filing with the Securities and Exchange Commission. 

The continued listing standards are set forth in the NYSE Listed Company Manual.  See Sections 802.02 and 802.03 of the Listed Company Manual for NYSE quantitative/qualitative continued listings standards and related procedures and cure periods and Section 303A for NYSE corporate governance listing standards.

Issuer Name/SymbolIndicatorDeficiencyNotification Date
Accretive Health, Inc.
AH
.LFFailure to timely file 10-K for year ending December 31, 2013-
.LFFailure to timely file 10-Q for period ending March 31, 2013-
.LFFailure to timely file 10-Q for period ending September 30, 2013-
.LFFailure to timely file 10-K for year ending December 31, 2012-
.LFFailure to timely file 10-Q for period ending June 30, 2013-
Ambow Education Holding Ltd.
.LFFailure to timely file 20-F for year ending December 31, 2012-
Chimera Investment Corporation
.LFFailure to timely file 10-K for year ending December 31, 2013-
CommonWealth REIT
.BC-CG303A.06 - Does not conform to Rule 10A-3 (Independence)03/26/2014
.BC-CG303A.07(a) - Does not have an audit committee member with financial management expertise03/26/2014
.BC-CG303A.03 - Does not have a presiding director03/26/2014
.BC-CG303A.05(a) - Compensation/other named committee independence issue03/26/2014
.BC-CG303A.07(a) - Audit committee member(s) not financially literate03/26/2014
.BC-CG303A.01 - Does not have a majority of independent directors on the board03/26/2014
.BC-CG303A.07(a) - Does not have three members on the audit committee03/26/2014
.BC-CG303A.04(a) - Nominating/other named committee independence issue03/26/2014
Cubic Corporation
.LFFailure to timely file 10-Q for period ending December 31, 2013-
Five Star Quality Care, Inc.
.LFFailure to timely file 10-K for year ending December 31, 2013-
General Steel Holdings, Inc.
.BC-FCPlan-
IFM Investments Limited
.BC-FCPlan-
ITT Educational Services, Inc.
.LFFailure to timely file 10-K for year ending December 31, 2013-
Kid Brands, Inc.
KID
.BC-FCPrice-
.BC-FCPlan-
Kingsway Financial Services, Inc.
.BC-FCPlan06/07/2013
MagnaChip Semiconductor Corporation
.LFFailure to timely file 10-K for year ending December 31, 2013-
NeoPhotonics Corporation
.LFFailure to timely file 10-K for year ending December 31, 2013-
Niska Gas Storage Partners LLC
.BC-CG303A.07(a) - Does not have three members on the audit committee04/02/2014
The Phoenix Companies, Inc.
.LFFailure to timely file 10-Q for period ending September 30, 2013-
.LFFailure to timely file 10-Q for period ending June 30, 2013-
.LFFailure to timely file 10-K for year ending December 31, 2013-
.LFFailure to timely file 10-Q for period ending March 31, 2013-
TravelCenters of America LLC
.LFFailure to timely file 10-K for year ending December 31, 2013-
USEC Inc.
.BC-FCPlan-
Verso Paper Corp.
.BC-FCPlan-