Welcome to our dedicated page for Defi Technologies SEC filings (Ticker: DEFT), 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.
DeFi Technologies filings document foreign-private-issuer current reports and related exhibits for a digital asset financial technology company. Its Form 6-K reports furnish press releases on Valour's regulated digital asset ETP platform, Stillman Digital trading and liquidity activity, DeFi Alpha capital markets strategies, DVIO Index partnerships, venture portfolio developments, and periodic financial results.
The company's regulatory disclosures also address treasury and portfolio holdings, assets under management, product and geographic expansion, executive and subsidiary leadership, institutional distribution, and Canadian continuous-disclosure matters, including management cease trade order reporting tied to annual filing obligations.
DeFi Technologies Inc. filed its Annual Report on Form 40-F disclosing audited 2025 financial statements, a material weakness in internal control over financial reporting, and restatements to interim 2024 quarters related to the valuation and classification of equity investments in digital assets.
Management reported a material weakness arising from incorrect accounting for locked tokens held via private funds, applied a discount for lack of marketability (DLOM), disclosed reclassifications between current and non-current assets, and described remediation steps including NetSuite and Cryptio implementations and engagement of a Big Four CPA for control documentation.
DeFi Technologies Inc. reports that the Ontario Securities Commission has granted a management cease trade order because the company has not yet filed its audited annual financial statements, MD&A, and related certifications for the year ended December 31, 2025.
The order restricts the chief executive officer and chief financial officer from trading the company’s securities, including under automatic plans, until the filings are completed, but does not restrict trading by other shareholders. The delay stems from a late SOC 2 Type 2 report from a material third-party counterparty needed for audit procedures. Until the annual filings are submitted, DeFi Technologies will issue bi‑weekly default status updates under National Policy 12‑203.
DeFi Technologies Inc. reports that the Ontario Securities Commission has granted a management cease trade order because the company has not yet filed its audited annual financial statements, MD&A, and related certifications for the year ended December 31, 2025.
The order restricts the chief executive officer and chief financial officer from trading the company’s securities, including under automatic plans, until the filings are completed, but does not restrict trading by other shareholders. The delay stems from a late SOC 2 Type 2 report from a material third-party counterparty needed for audit procedures. Until the annual filings are submitted, DeFi Technologies will issue bi‑weekly default status updates under National Policy 12‑203.
DeFi Technologies Inc. reported that its subsidiary Valour has appointed Jacob Lindberg as Chief Revenue Officer to lead commercial strategy in the Nordic region and key European markets. He will focus on expanding Valour’s digital asset ETP platform, institutional partnerships, and broader institutional investment product offerings.
The company highlights plans to move beyond listed ETPs into UCITS-style funds, actively managed certificates, hedge fund and fund-of-funds strategies, aiming to build more durable, diversified assets under management. Lindberg’s background as founder and former CEO of crypto index provider Vinter, and his experience designing innovative digital asset indexes, are presented as core strengths for this growth phase.
DeFi Technologies Inc. reported that its subsidiary Valour has appointed Jacob Lindberg as Chief Revenue Officer to lead commercial strategy in the Nordic region and key European markets. He will focus on expanding Valour’s digital asset ETP platform, institutional partnerships, and broader institutional investment product offerings.
The company highlights plans to move beyond listed ETPs into UCITS-style funds, actively managed certificates, hedge fund and fund-of-funds strategies, aiming to build more durable, diversified assets under management. Lindberg’s background as founder and former CEO of crypto index provider Vinter, and his experience designing innovative digital asset indexes, are presented as core strengths for this growth phase.
DeFi Technologies Inc. reported preliminary unaudited full-year 2025 results with record revenue of $99.1 million and record net income of $62.7 million. Management highlighted a stronger balance sheet, including more than $113 million in cash and approximately $178.7 million in combined cash, treasury, and venture portfolio value as of year-end.
The company disclosed a delay in filing its audited 2025 financial statements and related disclosures, tied to late receipt of a third-party SOC 2 Type 2 report. It has applied for a temporary management cease trade order, noting that, if not granted, regulators may impose a broader cease trade order. DeFi Technologies also appointed Jonathan Dimitry as new independent Chair of the Audit Committee to further support governance and financial reporting oversight.
DeFi Technologies Inc. filed a Form 6-K furnishing its Annual Information Form for the year ended December 31, 2025. The document outlines how the company bridges traditional capital markets and decentralized finance through six business lines, including Valour’s crypto ETP platform, a ventures arm, DeFi Alpha trading, Reflexivity Research, and Stillman Digital’s OTC liquidity services.
The AIF reviews three years of business development, such as the launch of multiple new ETPs across European and Brazilian exchanges, the 2025 Nasdaq listing, a Normal Course Issuer Bid, and a US$100 million registered direct offering completed in 2025. It also describes significant digital asset investments in Solana and Avalanche funds, treasury adoption of Bitcoin, prior financial statement restatements and auditor changes, and extensive risk disclosures tied to staking, lending, custody and crypto market volatility.
DeFi Technologies Inc. reports it may delay filing its annual financial statements, MD&A and related CEO/CFO certifications for the year ended December 31, 2025. The timing risk stems from awaiting a SOC 2 Type 2 report from a material third-party counterparty that its auditors need.
The company states there is no disagreement with auditors, no identified issues in its financial statements, and no weaknesses found in internal controls. It has applied to the Ontario Securities Commission for a temporary management cease trade order that would restrict trading by certain insiders only, and plans bi-weekly status updates if a default occurs. DeFi Technologies also plans to file its 2025 Form 40-F with the SEC concurrently with Canadian annual filings.
DeFi Technologies Inc. is warning that its annual financial statements, management’s discussion and analysis, and related CEO/CFO certifications for the year ended December 31, 2025 may be filed late. The timing depends on when a SOC 2 Type 2 report from a material third-party counterparty is received, which is needed for audit procedures.
If the report arrives by March 31, 2026, the company currently expects to meet the filing deadline. If it does not, management plans additional audit procedures at substantial incremental cost to complete the audit and file as promptly as possible. The company stresses the potential delay is not due to disagreements with auditors, issues in its financial statements, or weaknesses in internal controls.
DeFi Technologies has applied to the Ontario Securities Commission for a temporary management cease trade order that would restrict trading by certain insiders only, if a filing default occurs. The company plans to issue bi-weekly status updates and to file its 2025 Form 40-F with the SEC at the same time as the Canadian annual filings.
DeFi Technologies Inc. reported that its management will present at the Canaccord 6th Annual Digital Assets Virtual Symposium on Wednesday, March 11, 2026. The presentation will be a fireside chat at 2:30 p.m., with a webcast available at https://wsw.com/webcast/canaccord115/deft/2490303.
The company, listed on Nasdaq, CBOE Canada and in Germany, describes itself as a financial technology firm connecting traditional capital markets with decentralized finance. Its business includes the Valour digital asset ETP platform, Stillman Digital prime brokerage, Reflexivity Research, Neuronomics, and DeFi Alpha.
DeFi Technologies Inc. received a Nasdaq notice that its common share closing bid price stayed below $1.00 for 30 consecutive business days as of March 4, 2026, triggering a minimum bid price deficiency under Nasdaq Listing Rule 5550(a)(2).
The company has 180 calendar days, until September 1, 2026, to regain compliance by maintaining a closing bid of at least $1.00 per share for a minimum of ten consecutive business days, a period Nasdaq staff may extend to generally up to 20 days. If it fails to do so, DeFi Technologies may qualify for an additional 180-day compliance period, potentially including a reverse stock split, provided it meets other Nasdaq Capital Market initial listing standards.
The notice has no immediate effect on the listing, and the shares continue trading on The Nasdaq Capital Market under the symbol “DEFT”. The company plans to monitor its share price and consider available options, while cautioning there is no assurance it will regain compliance or satisfy other Nasdaq listing rules.
DeFi Technologies Inc. reported that Nasdaq has notified the company its common shares no longer meet the $1.00 minimum bid price requirement after trading below that level for 30 consecutive business days as of March 4, 2026. The company’s shares will continue trading on the Nasdaq Capital Market under the symbol DEFT while it works to regain compliance.
DeFi Technologies has 180 calendar days, until September 1, 2026, for its closing bid price to reach at least $1.00 for a minimum of ten consecutive business days, a period Nasdaq staff may extend to generally up to 20 consecutive days. If compliance is not regained, the company may qualify for a second 180‑day period if it meets other Nasdaq Capital Market initial listing standards and formally indicates plans to cure the deficiency, potentially including a reverse stock split.
If the company does not qualify for or complete remediation in a second compliance period, its shares would be subject to delisting, though DeFi Technologies could appeal any such determination. The company states it intends to monitor its share price and consider available options, while cautioning there is no assurance it will regain or maintain compliance with Nasdaq listing rules.