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 filed Amendment No. 1 to its annual report dated December 27, 2025 to add its Compensation Recoupment (Clawback) Policy as Exhibit 97.1. The company states that, other than including this replacement exhibit and updating the amendment date, no changes were made to the original annual report.
The filing also notes that the aggregate market value of common stock held by non-affiliates was approximately $160.6 million based on the closing price on June 27, 2025, and that 127,166,254 shares of common stock were outstanding as of April 9, 2026.
ALT5 Sigma Corporation approved a new Employment Agreement for Tony Isaac and formally changed his title from Acting Chief Executive Officer to Chief Executive Officer. The agreement runs for three years with automatic annual renewals unless either party gives 90 days’ notice of non-renewal.
Mr. Isaac will receive an annual base salary of $600,000 and is eligible for a discretionary annual bonus determined by the Compensation Committee. He was also granted 5,000,000 shares of common stock as a Stock Award, with releases tied to the Company’s share price.
If his employment ends in specified circumstances, he is entitled to accrued compensation, potential bonus amounts, expense reimbursement, and full vesting of equity awards. Upon a termination in connection with a change of control, he may receive cash payments based on up to three times his base salary plus potential annual bonuses, and all restrictions on the Stock Award will be removed.
ALT5 Sigma Corporation entered a Stock Exchange Agreement with the four owners of Block Street Corp., issuing 12,670,257 common shares valued at $12 million and granting two sets of five-year pre-funded warrants for up to 32,731,496 additional shares, both exercisable on a cashless basis.
The first warrant set vests after Block Street generates at least $20,000,000 in trailing four-quarter net revenues, and the second after $8,000,000 in trailing four-quarter Modified Operating Income. All shares issued or issuable are subject to a 24‑month lock-up with volume-based leak-out limits.
ALT5 Sigma also signed a binding letter of intent to acquire Dectec, issuing 4,000,000 shares at closing and up to 4,000,000 additional shares over 36 months, at 1,000,000 shares for every $5,000,000 of Gross Profit generated by Dectec’s solutions.
ALT5 Sigma Corporation (ALTS) describes its transformation into a fintech and digital-asset platform, centered on the ALT5 Prime trading platform, ALT5 Pay crypto payments gateway, and StrataCarte multi-currency card program. The company serves roughly 1,900 corporate customers in 50 countries, targeting banks, broker-dealers, funds, and merchants.
ALT5 Sigma Canada’s cumulative transaction volume reached $8.0 billion, rising from $39.0 million in 2020 to $3.5 billion in 2025. Revenue progressed from $3.5 million in 2021 to $23.5 million in 2025, with profitability fluctuating between small profits and net losses.
The company completed key acquisitions, including ALT5 Sigma, Inc. in 2024 and Fortress II Holdings Ltd. (Mswipe/StrataCarte) in 2025, expanding payments and card capabilities. It also retains a discontinued biotechnology segment, Alyea Therapeutics, and is exploring a formal separation.
Management discloses material weaknesses in internal control over financial reporting, including IT control gaps, weak contract-to-invoice processes, and insufficient assessment of significant transactions. The filing details extensive risks from crypto market volatility, regulation, custody and cybersecurity threats, banking relationships, and evolving tax and sanctions regimes.
ALT5 Sigma Corp reports a Schedule 13G/A amendment showing The Vanguard Group beneficially owns 0 shares of Common Stock, representing 0% of the class. The filing states Vanguard reorganized on January 12, 2026, and certain subsidiaries now report holdings separately under SEC Release No. 34-39538.
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 $15 million secured loan from World Liberty Financial, Inc. to an ALT5 subsidiary, collateralized by WLFI tokens.