U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-QSB [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 1997 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ________ to ________ Commission File Number 1-11184 NORTH EAST INSURANCE COMPANY (Exact name of small business issuer as specified in its charter) Maine 01-0278387 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No.) 482 Payne Road, Scarborough, Maine 04074 (Address of principal executive offices) (207) 883-2232 (Issuer's telephone number) Check whether the issuer (1) filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the past 12 months (or for such shorter period that the issuer was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes [X] No [ ] As of November 13, 1997, there were 3,046,842 outstanding shares of Common Stock, $1.00 par value, the only authorized class of common stock of the issuer. Transitional Small Business Disclosure Format: Yes [ ] No [X] PART I - FINANCIAL INFORMATION For reasons stated in its Form 12b-25, the Registrant is presently unable to complete Items 1 and 2 of this Part I. Such items will be filed by amendment by November 21, 1997. PART II - OTHER INFORMATION Item 6. a) Exhibits pursuant to Item 601 of Regulation S-B 27 Financial Data Schedule (to be filed by amendment by November 21, 1997) b) Reports on Form 8-K None SIGNATURES In accordance with the requirements of the Exchange Act, the Registrant caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. NORTH EAST INSURANCE COMPANY Date: November 14, 1997 By /s/ Robert G. Schatz Robert G. Schatz, President and Chief Executive Officer Date: November 14, 1997 By /s/ Graham S. Payne Graham S. Payne, Treasurer and Chief Financial Officer