SPTY Risk Flags
Consolidated view of every risk_flag row SPTYhas 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 · Mar 29, 2024 | Form NT 10-K filed 2024-03-29 (accession 0001520138-24-000141) notified the SEC of delayed 10-K filing for period ending 2023-12-31. Substantive filing landed 2025-03-03 (accession 0001520138-25-000063), 338 days after the 2024-03-30 filing… | view ↗ |
| Late Filing | high | NT 10-K · Apr 2, 2025 | Form NT 10-K filed 2025-04-02 (accession 0001520138-25-000106) notified the SEC of delayed 10-K filing for period ending 2024-12-31. Substantive filing landed 2025-06-24 (accession 0001520138-25-000183), 85 days after the 2025-03-31 filing … | view ↗ |
| Late Filing | medium | NT 10-Q · Aug 15, 2025 | Form NT 10-Q filed 2025-08-15 (accession 0001520138-25-000266) notified the SEC of delayed 10-Q filing for period ending 2025-06-30. Substantive filing landed 2025-08-19 (accession 0001520138-25-000271), 5 days after the 2025-08-14 filing d… | view ↗ |
| Late Filing | medium | NT 10-Q · Nov 14, 2023 | Form NT 10-Q filed 2023-11-14 (accession 0001520138-23-000495) notified the SEC of delayed 10-Q filing for period ending 2023-09-30. Substantive filing landed 2023-11-20 (accession 0001520138-23-000504), 6 days after the 2023-11-14 filing d… | view ↗ |
| Late Filing | medium | NT 10-Q · May 15, 2023 | Form NT 10-Q filed 2023-05-15 (accession 0001520138-23-000230) notified the SEC of delayed 10-Q filing for period ending 2023-03-31. Substantive filing landed 2023-05-18 (accession 0001520138-23-000242), 3 days after the 2023-05-15 filing d… | view ↗ |
| Auditor Change | low | 10-K · Mar 3, 2025 | PCAOB-tagged auditor in 10-K filed 2025-03-03 (accession 0001520138-25-000063) was 'CM3 Advisory' (PCAOB Firm ID: 6866). Prior 10-K filed 2023-03-30 (accession 0001520138-23-000156) was 'BF Borgers CPA PC' (PCAOB Firm ID: 5041). | view ↗ |
| Delisting | low | 15-15D · Jul 15, 2024 | Form 15-15D filed 2024-07-15 (accession 0001520138-24-000249) terminated the issuer's SEC registration under the Exchange Act. No companion Form 25 (delisting notice) detected within 12 months — voluntary deregistration without a prior exch… | view ↗ |
| Late Filing | low | NT 10-Q · Nov 14, 2022 | Form NT 10-Q filed 2022-11-14 (accession 0001520138-22-000515) notified the SEC of delayed 10-Q filing for period ending 2022-09-30. Substantive filing landed 2022-11-21 (accession 0001520138-22-000529), 7 days after the 2022-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Mar 31, 2022 | Form NT 10-K filed 2022-03-31 (accession 0001520138-22-000121) notified the SEC of delayed 10-K filing for period ending 2021-12-31. Substantive filing landed 2022-04-15 (accession 0001520138-22-000158), 15 days after the 2022-03-31 filing … | view ↗ |
Related on SPTY
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.