UPXI Risk Flags
Consolidated view of every risk_flag row UPXIhas 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 | medium | 10-K · Dec 16, 2024 | PCAOB-tagged auditor in 10-K filed 2024-12-16 (accession 0001477932-24-008123) was 'GBQ Partners LLC' (PCAOB Firm ID: 1808). Prior 10-K filed 2023-10-03 (accession 0001477932-23-007307) was 'B F Borgers CPA PC' (PCAOB Firm ID: 5041). | view ↗ |
| Late Filing | medium | NT 10-Q · Nov 14, 2024 | Form NT 10-Q filed 2024-11-14 (accession 0001477932-24-007218) notified the SEC of delayed 10-Q filing for period ending 2024-09-30. Substantive filing landed 2024-12-19 (accession 0001477932-24-008219), 35 days after the 2024-11-14 filing … | view ↗ |
| Late Filing | medium | NT 10-K · Sep 30, 2024 | Form NT 10-K filed 2024-09-30 (accession 0001477932-24-006036) notified the SEC of delayed 10-K filing for period ending 2024-06-30. Substantive filing landed 2024-12-16 (accession 0001477932-24-008123), 79 days after the 2024-09-28 filing … | view ↗ |
| Late Filing | medium | NT 10-Q · May 15, 2024 | Form NT 10-Q filed 2024-05-15 (accession 0001477932-24-002986) notified the SEC of delayed 10-Q filing for period ending 2024-03-31. Substantive filing landed 2024-07-09 (accession 0001477932-24-004117), 55 days after the 2024-05-15 filing … | view ↗ |
| Late Filing | low | NT 10-Q · May 16, 2025 | Form NT 10-Q filed 2025-05-16 (accession 0001477932-25-003855) notified the SEC of delayed 10-Q filing for period ending 2025-03-31. Substantive filing landed 2025-05-16 (accession 0001477932-25-003866), 1 days after the 2025-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · Nov 14, 2023 | Form NT 10-Q filed 2023-11-14 (accession 0001477932-23-008459) notified the SEC of delayed 10-Q filing for period ending 2023-09-30. Substantive filing landed 2023-11-20 (accession 0001477932-23-008695), 6 days after the 2023-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Sep 28, 2023 | Form NT 10-K filed 2023-09-28 (accession 0001477932-23-007185) notified the SEC of delayed 10-K filing for period ending 2023-06-30. Substantive filing landed 2023-10-03 (accession 0001477932-23-007307), 5 days after the 2023-09-28 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · Feb 15, 2023 | Form NT 10-Q filed 2023-02-15 (accession 0001477932-23-001040) notified the SEC of delayed 10-Q filing for period ending 2022-12-31. Substantive filing landed 2023-02-15 (accession 0001477932-23-001046), 1 days after the 2023-02-14 filing d… | view ↗ |
Related on UPXI
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.