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 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 $15 million to its subsidiary ALT5 Digital Holdings. The loan bears interest at 4.50% per year, paid annually in advance, and matures 24 months after the initial closing.
The facility is non-recourse to the borrower beyond pledged $WLFI tokens, secured by a loan-to-value ratio of 65%, implying about $23 million in WLFI token collateral for a full draw. ALT5 Digital has already drawn the entire $15 million, receiving net proceeds of approximately $14.2 million after prepaid interest and expenses.
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.
ALT5 Sigma Corporation appointed Steven M. Plumb as Chief Financial Officer, principal financial officer and principal accounting officer, effective November 24, 2025, and later finalized his employment agreement on January 21, 2026.
The agreement provides a $339,400 annual base salary, eligibility for an annual bonus equal to 50% of base salary, and a $20,000 signing bonus paid to Clear Financial Solutions. Plumb also received 95,337 restricted stock units under the 2024 Equity Incentive Plan, with half vesting on the first anniversary of his start date and the rest vesting quarterly over the following year.
If the company terminates him without cause or he resigns with good reason, he is entitled to one year of continued base salary, payment of any earned but unpaid bonuses, a prorated bonus for the year of termination in certain cases, and accelerated vesting treatment for his equity awards, subject to a release of claims.
Soul Ventures Holdings Ltd has filed an amended Schedule 13G reporting its beneficial ownership in ALT5 Sigma Corp0 shares of common stock, representing 0.0% of the class, with no voting or dispositive power.
The British Virgin Islands entity indicates that it now owns 5 percent or less of the issuer’s shares and certifies that the securities referenced were not acquired or held for the purpose of changing or influencing control of ALT5 Sigma, nor in connection with any control-related transaction.
ALT5 Sigma Corporation filed an amended quarterly report for the quarter ended September 27, 2025, mainly to make limited technical changes. The amendment removes the second sentence in Item 1A, updates certain officer certification exhibits to reflect the company’s current name, and corrects a dating typo in other certification exhibits, with no other changes to the original report.
The company also discloses that on January 7, 2026 it received a delinquency notification letter from Nasdaq for not holding an annual stockholder meeting within twelve months of its fiscal year end. ALT5 Sigma plans to regain compliance by holding its Annual Meeting of Stockholders on February 27, 2026 and submitting a plan; Nasdaq’s framework allows until June 26, 2026 to cure the deficiency, and the notice has no immediate effect on the trading or listing of its common stock.
ALT5 Sigma Corporation reported a sharp swing to profitability as it scales its fintech and crypto-focused strategy. For the quarter ended September 27, 2025, revenue rose to $7.6 million from $4.9 million, driven by growth in its digital asset payment platforms and the inclusion of newly acquired Mswipe. Year-to-date revenue reached $19.5 million versus $7.1 million a year earlier.
The company posted quarterly net income of $49.0 million, compared with a loss of $0.8 million in the prior-year period. Results were heavily influenced by a $72.8 million unrealized gain on cryptocurrency assets tied to its WLFI treasury program, which held $1.53 billion of crypto assets at fair value on the balance sheet. Operating costs also rose sharply, with selling, general and administrative expenses at $19.2 million for the quarter.
ALT5 completed significant strategic moves, including the acquisitions of ALT5 Subsidiary and Mswipe, and a large equity financing that raised $750 million, much of which funded crypto purchases. Common shares outstanding expanded from 15.4 million at December 28, 2024 to 126.1 million at September 27, 2025. The biotechnology business, Alyea, is classified as discontinued operations as the company advances plans to separate those healthcare assets.
ALT5 Sigma Corporation reached a comprehensive settlement with Wellington Peel, LLC and related parties, resolving previously disclosed litigation and related disputes. As part of the agreement, all parties granted mutual releases of claims connected to those matters, and the earlier court action was withdrawn without prejudice.
To resolve a contractual dispute over a terminated consulting agreement, ALT5 Sigma agreed to pay Wellington Peel, LLC a total of $200,000, with $100,000 due at signing and $20,000 in five monthly installments starting in February 2026. The company will also issue 225,000 shares of common stock to Wellington Peel, LLC and its principal, and 50,000 shares to a former employee of its Canadian subsidiary in connection with a share award dispute. The settlement includes no admission of liability by any party, and ALT5 Sigma states it does not expect a material impact on its financial condition, results of operations, or cash flows.