HGBL Risk Flags
Consolidated view of every risk_flag row HGBLhas 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 · Mar 14, 2024 | PCAOB-tagged auditor in 10-K filed 2024-03-14 (accession 0000950170-24-031436) was 'UHY LLP' (PCAOB Firm ID: 1195). Prior 10-K/A filed 2024-02-07 (accession 0000950170-24-012268) was 'BAKER TILLY US, LLP' (PCAOB Firm ID: 23). | view ↗ |
| Late Filing | high | NT 10-Q · Nov 14, 1997 | Form NT 10-Q filed 1997-11-14 (accession 0000849145-97-000017) notified the SEC of delayed 10-Q filing for period ending 1997-09-30. Substantive filing landed 1998-05-20 (accession 0000849145-98-000006), 187 days after the 1997-11-14 filing… | view ↗ |
| Late Filing | high | NT 10-Q · Aug 14, 1997 | Form NT 10-Q filed 1997-08-14 (accession 0000849145-97-000009) notified the SEC of delayed 10-Q filing for period ending 1997-06-30. Substantive filing landed 1998-05-20 (accession 0000849145-98-000006), 279 days after the 1997-08-14 filing… | view ↗ |
| Late Filing | high | NT 10-Q · May 14, 1997 | Form NT 10-Q filed 1997-05-14 (accession 0000849145-97-000007) notified the SEC of delayed 10-Q filing for period ending 1997-03-31. 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 28, 1997 | Form NT 10-K filed 1997-03-28 (accession 0000849145-97-000002) notified the SEC of delayed 10-K filing for period ending 1996-12-31. 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/A · Aug 15, 1996 | Form NT 10-Q/A filed 1996-08-15 (accession 0000849145-96-000020) notified the SEC of delayed 10-Q/A filing for period ending 1996-06-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in… | view ↗ |
| Late Filing | high | NT 10-Q/A · May 17, 1996 | Form NT 10-Q/A filed 1996-05-17 (accession 0000849145-96-000010) notified the SEC of delayed 10-Q/A filing for period ending 1996-03-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in… | view ↗ |
| Late Filing | high | NT 10-Q · May 15, 1996 | Form NT 10-Q filed 1996-05-15 (accession 0000849145-96-000009) notified the SEC of delayed 10-Q filing for period ending 1996-03-31. 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 · Apr 1, 1996 | Form NT 10-K filed 1996-04-01 (accession 0000849145-96-000004) notified the SEC of delayed 10-K filing for period ending 1995-12-31. 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-Q · Aug 17, 2004 | Form NT 10-Q filed 2004-08-17 (accession 0000950133-04-003269) notified the SEC of delayed 10-Q filing for period ending 2004-06-30. Substantive filing landed 2004-09-30 (accession 0000950133-04-003643), 47 days after the 2004-08-14 filing … | view ↗ |
| Late Filing | medium | NT 10-K · Mar 31, 2003 | Form NT 10-K filed 2003-03-31 (accession 0001104659-03-005472) notified the SEC of delayed 10-K filing for period ending 2002-12-31. Substantive filing landed 2003-04-30 (accession 0001104659-03-007730), 30 days after the 2003-03-31 filing … | view ↗ |
| Late Filing | low | NT 10-K · Mar 30, 2004 | Form NT 10-K filed 2004-03-30 (accession 0000950133-04-001209) notified the SEC of delayed 10-K filing for period ending 2003-12-31. Substantive filing landed 2004-04-14 (accession 0000950133-04-001374), 15 days after the 2004-03-30 filing … | view ↗ |
| Late Filing | low | NT 10-Q · Nov 17, 2003 | Form NT 10-Q filed 2003-11-17 (accession 0001104659-03-026835) notified the SEC of delayed 10-Q filing for period ending 2003-09-30. Substantive filing landed 2003-11-19 (accession 0001104659-03-027064), 5 days after the 2003-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · May 16, 2003 | Form NT 10-Q filed 2003-05-16 (accession 0001104659-03-010489) notified the SEC of delayed 10-Q filing for period ending 2003-03-31. Substantive filing landed 2003-05-20 (accession 0001104659-03-010838), 5 days after the 2003-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · Nov 15, 2002 | Form NT 10-Q filed 2002-11-15 (accession 0001104659-02-006423) notified the SEC of delayed 10-Q filing for period ending 2002-09-30. Substantive filing landed 2002-11-19 (accession 0001104659-02-006550), 5 days after the 2002-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · May 15, 2002 | Form NT 10-Q filed 2002-05-15 (accession 0001104659-02-002496) notified the SEC of delayed 10-Q filing for period ending 2002-03-31. Substantive filing landed 2002-05-17 (accession 0001104659-02-002624), 2 days after the 2002-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Apr 1, 2002 | Form NT 10-K filed 2002-04-01 (accession 0000912057-02-013030) notified the SEC of delayed 10-K filing for period ending 2001-12-31. Substantive filing landed 2002-04-12 (accession 0000912057-02-014890), 12 days after the 2002-03-31 filing … | view ↗ |
| Late Filing | low | NT 10-Q · Nov 15, 2001 | Form NT 10-Q filed 2001-11-15 (accession 0000912057-01-539962) notified the SEC of delayed 10-Q filing for period ending 2001-09-30. Substantive filing landed 2001-11-16 (accession 0000912057-01-540260), 2 days after the 2001-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · Aug 15, 2001 | Form NT 10-Q filed 2001-08-15 (accession 0000912057-01-528820) notified the SEC of delayed 10-Q filing for period ending 2001-06-30. Substantive filing landed 2001-08-20 (accession 0000912057-01-529597), 6 days after the 2001-08-14 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · May 16, 2001 | Form NT 10-Q filed 2001-05-16 (accession 0000912057-01-516337) notified the SEC of delayed 10-Q filing for period ending 2001-03-31. Substantive filing landed 2001-05-17 (accession 0001047469-01-500007), 2 days after the 2001-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · May 15, 2000 | Form NT 10-Q filed 2000-05-15 (accession 0000849145-00-000002) notified the SEC of delayed 10-Q filing for period ending 2000-03-31. Substantive filing landed 2000-05-19 (accession 0000893838-00-000149), 4 days after the 2000-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Mar 30, 2000 | Form NT 10-K filed 2000-03-30 (accession 0000849145-00-000001) notified the SEC of delayed 10-K filing for period ending 1999-12-31. Substantive filing landed 2000-04-14 (accession 0000912057-00-018144), 15 days after the 2000-03-30 filing … | view ↗ |
| Late Filing | low | NT 10-Q · Aug 16, 1999 | Form NT 10-Q filed 1999-08-16 (accession 0000849145-99-000015) notified the SEC of delayed 10-Q filing for period ending 1999-06-30. Substantive filing landed 1999-08-19 (accession 0001047469-99-033100), 5 days after the 1999-08-14 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Mar 31, 1999 | Form NT 10-K filed 1999-03-31 (accession 0000849145-99-000006) notified the SEC of delayed 10-K filing for period ending 1998-12-31. Substantive filing landed 1999-04-15 (accession 0000849145-99-000007), 15 days after the 1999-03-31 filing … | view ↗ |
| Late Filing | low | NT 10-Q · Nov 16, 1998 | Form NT 10-Q filed 1998-11-16 (accession 0000849145-98-000015) notified the SEC of delayed 10-Q filing for period ending 1998-09-30. Substantive filing landed 1998-11-19 (accession 0000849145-98-000016), 5 days after the 1998-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · May 15, 1998 | Form NT 10-Q filed 1998-05-15 (accession 0000849145-98-000004) notified the SEC of delayed 10-Q filing for period ending 1998-03-31. Substantive filing landed 1998-05-20 (accession 0000849145-98-000006), 5 days after the 1998-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Apr 1, 1998 | Form NT 10-K filed 1998-04-01 (accession 0000849145-98-000001) notified the SEC of delayed 10-K filing for period ending 1997-12-31. Substantive filing landed 1998-04-15 (accession 0000849145-98-000003), 15 days after the 1998-03-31 filing … | view ↗ |
Related on HGBL
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.