UUUU Risk Flags
Consolidated view of every risk_flag row UUUUhas 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 | high | NT 10-K · Mar 17, 2020 | Form NT 10-K filed 2020-03-17 (accession 0001062993-20-001368) notified the SEC of delayed 10-K filing for period ending 2020-03-17. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Auditor Change | medium | 10-K/A · Jun 1, 2023 | PCAOB-tagged auditor in 10-K/A filed 2023-06-01 (accession 0001062993-23-012552) was 'KPMG LLP' (PCAOB Firm ID: 185). Prior 10-K/A filed 2022-03-31 (accession 0001062993-22-009020) was 'Smythe LLP' (PCAOB Firm ID: 995). | view ↗ |
| Delisting | medium | 25-NSE · Sep 20, 2021 | Form 25-NSE filed 2021-09-20 (accession 0001143313-21-000040) 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 · Mar 2, 2023 | Form NT 10-K filed 2023-03-02 (accession 0001062993-23-005542) notified the SEC of delayed 10-K filing for period ending 2022-12-31. Substantive filing landed 2023-03-08 (accession 0001385849-23-000005), 23 days before the 2023-03-31 filing… | view ↗ |
| Late Filing | low | NT 10-Q · May 11, 2022 | Form NT 10-Q filed 2022-05-11 (accession 0001062993-22-012050) notified the SEC of delayed 10-Q filing for period ending 2022-03-31. Substantive filing landed 2022-05-16 (accession 0001385849-22-000032), 1 days after the 2022-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Mar 2, 2022 | Form NT 10-K filed 2022-03-02 (accession 0001062993-22-006257) notified the SEC of delayed 10-K filing for period ending 2021-12-31. Substantive filing landed 2022-03-15 (accession 0001385849-22-000024), 16 days before the 2022-03-31 filing… | view ↗ |
Related on UUUU
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.