Welcome to our dedicated page for ALT5 Sigma Corporation SEC filings (Ticker: ALTS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
ALT5 Sigma Corporation (NASDAQ: ALTS) files a range of reports with the U.S. Securities and Exchange Commission that document its fintech operations, digital asset treasury strategy, governance changes, and financial reporting status. On this page, investors can review ALT5’s Forms 10-K and 10-Q, along with current reports on Form 8-K and other disclosures, with AI-powered summaries that help explain key points from each filing.
ALT5’s periodic reports, such as the Form 10-K annual report and Form 10-Q quarterly reports, provide detail on its Fintech & Payments segment, $WLFI Treasury segment, and legacy biotech business. These filings describe how the company presents its digital asset payments, trading, and settlement infrastructure, as well as its holdings of $WLFI tokens and exposure to the USD1 stablecoin ecosystem. They also include discussions of risk factors, accounting policies, and segment information relevant to understanding ALTS as a fintech and digital asset-focused issuer.
The company’s Form 8-K filings offer timely updates on material events. Recent 8-Ks have covered topics such as changes in executive leadership, appointment of a new independent registered public accounting firm, Nasdaq filing delays and related communications, settlements of litigation involving unauthorized access to company information, and stockholder votes to increase authorized share capital. These reports provide context on corporate governance, control environment, and significant legal or strategic developments.
Through this SEC filings page, users can access real-time updates from EDGAR, including Form 4 insider transaction reports when available, and use AI-generated insights to quickly understand lengthy documents like 10-Ks and 10-Qs. This helps investors analyze how ALT5 manages its digital asset treasury, reports on its payments and settlement platforms, and addresses regulatory and governance matters that appear in its official filings.
ALT5 Sigma Corporation described how it resolved three Nasdaq listing compliance issues. The company had previously received notices for not timely filing its Form 10-Q for the period ending September 27, 2025, for having an audit committee vacancy, and for not holding an annual stockholders’ meeting within 12 months of its fiscal year-end.
The company filed the delayed Form 10-Q on January 12, 2026, after which Nasdaq confirmed on January 13, 2026 that it was back in compliance with Listing Rule 5250(c)(1). ALT5 Sigma then appointed Tim Stanley as an independent director and Audit Committee Chair on February 6, 2026, and Nasdaq confirmed on March 3, 2026 that the audit committee requirement under Listing Rule 5605(c)(2)(A) was satisfied. Finally, after holding its 2025 Annual Meeting of Stockholders on February 27, 2026, Nasdaq notified the company on March 3, 2026 that it complied with the annual meeting requirement under Listing Rule 5620(a), closing all three matters.
ALT5 Sigma Corporation reported the results of its 2025 Annual Meeting of Stockholders held on February 27, 2026. Shareholders elected all nominated directors, including Zachary Witkoff, Tony Isaac, Zachary Folkman, Nael Hajjar, John Bitar, Dr. Adel Elmessiry, and Tim Stanley, each for a one-year term.
Support for the nominees was strong, with most receiving around 29.5 million votes for and relatively few votes withheld. Stockholders also ratified L J Soldinger Associates, LLC as the independent registered public accounting firm for fiscal 2025 with 52,739,070 votes for, 2,022,767 against, and 91,016 abstentions.
In addition, shareholders approved a proposal to adjourn the Annual Meeting if necessary, with 49,839,502 votes for, 4,851,349 against, and 162,002 abstentions. Tony Isaac, acting chief executive officer, signed the report on behalf of the company.
ALT5 Sigma Corporation filed an 8-K after Acting CEO Tony Isaac issued a detailed letter to stockholders. He reports that ALT5 has restored compliance with U.S. SEC reporting obligations and regained compliance with applicable Nasdaq listing requirements, while reorganizing operations and enhancing investor outreach.
The letter highlights governance changes, including replacing the prior CFO/acting CEO, appointing Steven Plumb as CFO, and adding two new directors. It also updates a Rwanda court case involving approximately US$3.5 million; ALT5 has already recorded a US$3.5 million allowance, so an unsuccessful appeal would not further affect its financial statements.
Management estimates net asset value at about $843 million, or $6.67 per share, compared with a roughly $192 million equity market capitalization at a $1.52 share price as of February 19, 2026, and notes a previously authorized share repurchase program. ALT5 says it has processed more than $8 billion in digital asset transactions and recently launched the ALT5 Ai unit to extend its regulated payments and settlement infrastructure into AI-driven commerce.
ALT5 Sigma Corp’s major shareholder group reports a passive 8.7% stake. The group, including an investment manager, related funds and Chun R. Ding, reports beneficial ownership of 10,941,280 shares of common stock.
This percentage is calculated using 126,339,124 shares outstanding as of January 30, 2026, from the company’s definitive proxy statement. The Institutional Master Fund (BVI), Ltd. holds 6,770,000 shares (5.4%), B SPV holds 3,720,847 shares (2.9%), and Fintech Fund holds 333,153 shares (0.3%). The filers state the shares are not held to change or influence control, and the investment manager, its general partner and Mr. Ding disclaim beneficial ownership of the shares held by the funds and managed accounts.
ALT5 Sigma Corporation is holding its 2025 Annual Meeting on February 27, 2026 at 11:00 a.m. Pacific Time, in a virtual-only format at www.virtualshareholdermeeting.com/ALTS2025. Stockholders of record as of January 30, 2026, across common stock and four series of preferred stock, may vote.
Investors will vote on three items: electing seven directors, ratifying L J Soldinger Associates, LLC as independent auditor for fiscal 2025, and approving an Adjournment Proposal that lets the board postpone the meeting if needed to secure votes. Voting is available online, by phone, mail, or during the live webcast.
The proxy details board structure and committee activity, notes that ALT5 temporarily fell below Nasdaq independence and audit committee requirements but regained compliance after appointing Dr. Adel Elmessiry and Tim Stanley. It outlines executive and director pay, equity plans, and significant related-party dealings, including shared services and loans with Live Ventures and affiliates and a
ALT5 Sigma Corporation appointed Tim Stanley as an independent director on January 30, 2026, and added him to its Audit Committee effective immediately. The board determined he meets Nasdaq independence standards and the financial literacy requirements of Rule 10A-3 under the Exchange Act.
The company had received a Nasdaq notice on December 3, 2025 for non-compliance with Listing Rule 5605(c) following director resignations, and states that Mr. Stanley’s appointment restored compliance within the allowed cure period. The filing highlights his three decades of senior leadership and extensive public-company board and audit committee experience.
ALT5 Sigma Corporation reported that its Board appointed Dr. Adel ElMessiry as an independent director. The Nominating and Corporate Governance Committee recommended him on January 26, 2026, and he accepted the appointment on January 29, 2026. The Board determined he meets Nasdaq’s independence requirements.
Dr. ElMessiry co-founded AlphaFin, a fintech company focused on decentralized and blockchain-powered financial systems, and serves as its President and Chief Technology Officer. He also holds roles with Lussa in Dubai, the Nashville Entrepreneur Center, and WebDBTech, and previously held senior technology leadership positions in healthcare-related organizations. The company states there are no related-party transactions or new material compensation arrangements tied to his appointment.
ALT5 Sigma Corporation is asking stockholders to vote at its 2025 Annual Meeting, to be held virtually on February 27, 2026. Holders of common stock and several series of voting preferred stock of record on January 30, 2026 may participate and vote.
Stockholders will elect seven directors for one-year terms, ratify L J Soldinger Associates, LLC as independent auditor for fiscal 2025, and consider an adjournment proposal that would allow the Board to postpone the meeting if needed to obtain additional votes.
The proxy describes a refreshed Board with added fintech and blockchain expertise, details committee structures, and notes that Nasdaq majority-independence and Audit Committee requirements have been regained. It also outlines equity incentive plans and pay-versus-performance data for senior executives.
The filing discloses extensive related-party arrangements, including shared services and loans involving Live Ventures and Isaac Capital Group, a consulting agreement with Jon Isaac, and a $15 million secured loan from World Liberty Financial, Inc. to an ALT5 subsidiary, intended partly for a stock buyback program, $WLFI token purchases, and general corporate purposes.
Jane Street Group, LLC and related entities filed an amended Schedule 13G reporting beneficial ownership of 3,051,697 shares of ALT5 Sigma Corp common stock, representing 2.8% of the class as of the reporting date.
All shares are reported with shared voting and dispositive power and no sole power. The filing states the securities were not acquired or held to change or influence control of ALT5 Sigma Corp, indicating a passive investment position under the Schedule 13G framework.
ALT5 Sigma Corporation entered into a Master Loan and Security Agreement providing a collateralized loan facility of
The facility is non-recourse to the borrower beyond pledged $WLFI tokens, secured by a loan-to-value ratio of 65%, implying about
The company plans to use the funds for a board-approved stock buyback program, purchasing additional $WLFI tokens, and general corporate purposes. The transaction is a related-party arrangement because Board Chairman Zachary Witkoff is CEO and Co-Founder of WLFI and director Zachary Folkman is a Co-Founder of WLFI.