CBOE Risk Flags
Consolidated view of every risk_flag row CBOEhas 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 |
|---|---|---|---|---|
| Delisting | medium | 25 · Sep 14, 2018 | Form 25 filed 2018-09-14 (accession 0001104659-18-056813) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05-15)… | view ↗ |
| Late Filing | medium | NT 10-Q · May 11, 2017 | Form NT 10-Q filed 2017-05-11 (accession 0001104659-17-031763) notified the SEC of delayed 10-Q filing for period ending 2017-03-31. Substantive filing landed 2017-08-04 (accession 0001374310-17-000022), 81 days after the 2017-05-15 filing … | view ↗ |
| Auditor Change | low | 10-K · Feb 17, 2023 | PCAOB-tagged auditor in 10-K filed 2023-02-17 (accession 0001558370-23-001489) was 'KPMG LLP' (PCAOB Firm ID: 185). Prior 10-K filed 2022-02-18 (accession 0001558370-22-001386) was 'KPMG LLP' (PCAOB Firm ID: 34). | view ↗ |
Related on CBOE
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.