ESOA Risk Flags
Consolidated view of every risk_flag row ESOAhas 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 |
|---|---|---|---|---|
| Auditor Change | high | 10-K · Dec 15, 2025 | PCAOB-tagged auditor in 10-K filed 2025-12-15 (accession 0001104659-25-121185) was 'Urish Popeck & Co., LLC' (PCAOB Firm ID: 1013). Prior 10-K filed 2024-12-19 (accession 0001410578-24-002104) was 'Baker Tilly US, LLP' (PCAOB Firm ID: 23). | view ↗ |
| Late Filing | medium | NT 10-K · Dec 29, 2023 | Form NT 10-K filed 2023-12-29 (accession 0001104659-23-130476) notified the SEC of delayed 10-K filing for period ending 2023-09-30. Substantive filing landed 2024-01-16 (accession 0001410578-24-000014), 18 days after the 2023-12-29 filing … | view ↗ |
| Late Filing | medium | NT 10-Q · May 15, 2023 | Form NT 10-Q filed 2023-05-15 (accession 0000943374-23-000192) notified the SEC of delayed 10-Q filing for period ending 2023-03-31. Substantive filing landed 2023-05-31 (accession 0001410578-23-001403), 16 days after the 2023-05-15 filing … | view ↗ |
| Delisting | medium | 25-NSE · Nov 16, 2012 | Form 25-NSE filed 2012-11-16 (accession 0001143313-12-000103) 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… | view ↗ |
| Delisting | medium | 25-NSE · Nov 3, 2011 | Form 25-NSE filed 2011-11-03 (accession 0001143313-11-000133) 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… | view ↗ |
| Delisting | medium | 25-NSE · Nov 3, 2011 | Form 25-NSE filed 2011-11-03 (accession 0001143313-11-000131) 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… | view ↗ |
| Late Filing | low | NT 10-K · Dec 16, 2024 | Form NT 10-K filed 2024-12-16 (accession 0001104659-24-128931) notified the SEC of delayed 10-K filing for period ending 2024-09-30. Substantive filing landed 2024-12-19 (accession 0001410578-24-002104), 10 days before the 2024-12-29 filing… | view ↗ |
| Late Filing | low | NT 11-K · Jun 28, 2024 | Form NT 11-K filed 2024-06-28 (accession 0000943374-24-000296) notified the SEC of delayed 11-K filing for period ending 2023-12-31. Substantive filing landed 2024-07-03 (accession 0000943374-24-000309), 5 days after the 2024-06-28 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Dec 29, 2020 | Form NT 10-K filed 2020-12-29 (accession 0000943374-20-000589) notified the SEC of delayed 10-K filing for period ending 2020-12-29. Substantive filing landed 2021-01-05 (accession 0001104659-21-000500), 83 days before the 2021-03-29 filing… | view ↗ |
Related on ESOA
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.