CAPC Risk Flags
Consolidated view of every risk_flag row CAPChas surfaced across DredgeCap's extractor pipeline (auditor changes, late filings, delistings, going-concern, dilution, etc.). Each row carries a verbatim source_excerpt and links to the source SEC filing on EDGAR.
| Category | Severity | Source | Excerpt | EDGAR |
|---|---|---|---|---|
| Late Filing | extreme | NT 10-K · Apr 2, 2007 | Form NT 10-K filed 2007-04-02 (accession 0000939802-07-000065) notified the SEC of delayed 10-K filing for period ending 2006-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · Nov 15, 2006 | Form NT 10-Q filed 2006-11-15 (accession 0000939802-06-000559) notified the SEC of delayed 10-Q filing for period ending 2006-09-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · Aug 15, 2006 | Form NT 10-Q filed 2006-08-15 (accession 0000939802-06-000401) notified the SEC of delayed 10-Q filing for period ending 2006-06-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-K · Apr 1, 2005 | Form NT 10-K filed 2005-04-01 (accession 0000939802-05-000122) notified the SEC of delayed 10-K filing for period ending 2004-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-K · Mar 31, 2004 | Form NT 10-K filed 2004-03-31 (accession 0000939802-04-000170) notified the SEC of delayed 10-K filing for period ending 2003-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · Aug 15, 2003 | Form NT 10-Q filed 2003-08-15 (accession 0000939802-03-000283) notified the SEC of delayed 10-Q filing for period ending 2003-06-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-K · Apr 1, 2003 | Form NT 10-K filed 2003-04-01 (accession 0000939802-03-000106) notified the SEC of delayed 10-K filing for period ending 2002-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · Aug 15, 2002 | Form NT 10-Q filed 2002-08-15 (accession 0000939802-02-000306) notified the SEC of delayed 10-Q filing for period ending 2002-06-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · May 15, 2002 | Form NT 10-Q filed 2002-05-15 (accession 0000939802-02-000200) notified the SEC of delayed 10-Q filing for period ending 2002-03-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-K · Mar 30, 2001 | Form NT 10-K filed 2001-03-30 (accession 0000939802-01-000149) notified the SEC of delayed 10-K filing for period ending 2000-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · Nov 15, 2000 | Form NT 10-Q filed 2000-11-15 (accession 0001050502-00-001294) notified the SEC of delayed 10-Q filing for period ending 2000-09-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · Aug 15, 2000 | Form NT 10-Q filed 2000-08-15 (accession 0001050502-00-001061) notified the SEC of delayed 10-Q filing for period ending 2000-06-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-Q · May 16, 2000 | Form NT 10-Q filed 2000-05-16 (accession 0001050502-00-000707) notified the SEC of delayed 10-Q filing for period ending 2000-03-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | extreme | NT 10-K · Mar 31, 2000 | Form NT 10-K filed 2000-03-31 (accession 0001050502-00-000372) notified the SEC of delayed 10-K filing for period ending 1999-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-K · Apr 3, 2006 | Form NT 10-K filed 2006-04-03 (accession 0000939802-06-000183) notified the SEC of delayed 10-K filing for period ending 2005-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-Q · May 17, 1999 | Form NT 10-Q filed 1999-05-17 (accession 0001050502-99-000290) notified the SEC of delayed 10-Q filing for period ending 1999-03-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-K · Mar 31, 1999 | Form NT 10-K filed 1999-03-31 (accession 0001050502-99-000158) notified the SEC of delayed 10-K filing for period ending 1998-12-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | medium | NT 10-K · Apr 1, 2026 | Form NT 10-K filed 2026-04-01 (accession 0001903596-26-000122) notified the SEC of delayed 10-K filing for period ending 2025-12-31. As of 2026-05-15, no substantive filing has yet been located; the 90-day determination window does not expi… | view ↗ |
| Late Filing | medium | NT 10-Q · Jun 26, 2020 | Form NT 10-Q filed 2020-06-26 (accession 0000939802-20-000019) notified the SEC of delayed 10-Q filing for period ending 2020-03-31. Substantive filing landed 2020-07-02 (accession 0000939802-20-000026), 48 days after the 2020-05-15 filing … | view ↗ |
| Auditor Change | low | 10-K · Mar 17, 2025 | PCAOB-tagged auditor in 10-K filed 2025-03-17 (accession 0001903596-25-000126) was 'Assurance Dimensions, LLC.' (PCAOB Firm ID: 5036). Prior 10-K filed 2024-03-29 (accession 0001903596-24-000189) was 'D. Brooks and Associates CPAs, P.A.' (P… | view ↗ |
| Late Filing | low | NT 10-Q · Aug 11, 2020 | Form NT 10-Q filed 2020-08-11 (accession 0000939802-20-000029) notified the SEC of delayed 10-Q filing for period ending 2020-06-30. Substantive filing landed 2020-08-19 (accession 0000939802-20-000032), 5 days after the 2020-08-14 filing d… | view ↗ |
Related on CAPC
Risk-flag rows are produced by DredgeCap's extractor pipeline (lib/extract-auditor-changes, extract-late-filings, etc.). Each row carries a verbatim
source_excerpt from the underlying SEC filing — no AI-generated language. Refresh runs daily. Not financial advice.