Welcome to our dedicated page for Syntec Optics Holdings SEC filings (Ticker: OPTX), 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.
Syntec Optics Holdings, Inc. filings document the regulatory record of a public precision optics and photonics manufacturer with common stock and redeemable warrants. The company’s disclosures cover operating results, registration statements, capital-structure matters, risk factors, governance matters and material events tied to its optics manufacturing business.
Recent filing topics include annual meeting votes, director elections, auditor ratification, equity incentive plan matters, certificate-of-incorporation amendments and public offering disclosures. Form 8-K reports also document financial-result releases, changes involving the independent registered public accounting firm, internal-control matters, Nasdaq listing-rule notices and the company’s subsequent compliance status. Registration-statement disclosures describe securities issuance, corporate governance, risk factors and the company’s financing framework.
Syntec Optics Holdings, Inc. reported the results of its Annual Meeting of Stockholders held on January 20, 2026. Stockholders elected Wally Bishop (31,398,541 votes for, 213,518 withheld) and Albert A. Manzone (31,514,689 votes for, 97,370 withheld) as Class II directors to serve until the 2028 annual meeting, out of 36,920,226 votable shares.
Stockholders also approved several routine corporate matters. They ratified the appointment of CBIZ, Inc. as independent registered public accounting firm with 32,583,955 votes for, 180,067 against, and 9,418 abstaining. The grant of Restricted Stock Units (RSUs) under the 2023 Equity Incentive Plan was approved with 31,495,469 votes for, 113,996 against, and 2,594 abstentions. An amendment to the Second Amended and Restated Certificate of Incorporation passed with 31,154,992 votes for, 452,777 against, and 4,289 abstaining, and stockholders approved the general proposal to consider any other business with 31,437,144 votes for, 456,852 against, and 4,446 abstentions.
Syntec Optics Holdings (OPTX) reported Q3 results. Net sales were $6.95 million, down from $7.87 million a year ago, and the company posted a net loss of $1.43 million versus near break-even last year. Gross profit fell to $0.85 million as higher materials and labor costs pressured margins.
For the nine months, net sales were $20.58 million compared with $21.13 million last year, with a net loss of $1.45 million. Cash was $0.58 million, and $6.76 million was outstanding on the line of credit. After September 30, M&T Bank waived covenant defaults; Syntec repaid about $1.3 million on two loans and reduced its revolving commitment from $8.0 million to $7.5 million. As of November 11, 2025, 36,920,226 Class A shares were outstanding. Nasdaq confirmed the company regained timely filing compliance on October 10, 2025. Management reported multiple material weaknesses in internal control and outlined ongoing remediation steps.
Syntec Optics Holdings, Inc. regained Nasdaq compliance with the exchange’s periodic filing requirement. Nasdaq had notified the company on April 16, May 28, and August 29, 2025, that it was not meeting this requirement. After Syntec Optics filed its Form 10-K and Form 10-Qs on October 6, 2025, Nasdaq staff determined the company is back in compliance and stated the matter is closed.
Syntec Optics Holdings (OPTX) reported a change in its independent auditor. On October 10, 2025, Marcum LLP resigned, and the Audit Committee approved the engagement of CBIZ CPAs P.C. as the new independent registered public accounting firm.
Marcum’s audit reports for the fiscal years ended December 31, 2024 and December 31, 2023 did not contain adverse opinions or disclaimers, and the company states there were no disagreements with Marcum on accounting principles, disclosure, or audit scope through October 10, 2025. The filing reiterates previously disclosed material weaknesses from the 2024 Form 10‑K, including gaps in formal controls documentation and review, segregation of duties, timely reconciliations, revenue classification, related‑party disclosures, fair value methodology for a contingent earnout, IT general controls (user access and change management), SOC‑1 review, cybersecurity controls, lease accounting under ASC 842, and stock‑based compensation identification and accounting. Marcum provided a concurrence letter as Exhibit 16.1.
SYNTEC OPTICS HOLDINGS, INC. (OPTX) Form 4 shows Director Brent D. Rosenthal is the beneficial owner of 77,320 Restricted Stock Units (RSUs) that represent the right to receive one Class A common share per unit at a strike/issue price of $1.94. The RSUs are reported as fully vested and the shares have been provided to the transfer agent but remain subject to transfer and trading policy restrictions. The filing identifies the reporting person as a director and is recorded on 10/06/2025.
Syntec Optics Holdings, Inc. (OPTX) director Albert Manzone reported receipt of 77,320 restricted stock units (RSUs) that are fully vested and represent the contingent right to receive one Class A common share per RSU at a stated price of $1.94 per share. The RSUs were recorded as acquired on 10/06/2025 and the filing notes the shares were delivered to the transfer agent and remain subject to transfer and trading policy restrictions. The Form 4 lists Manzone as a director and indicates the earliest transaction date on the form is 12/20/2024. Following the reported transaction, Mr. Manzone beneficially owns 77,320 shares directly.
Director Walter A. Bishop reported acquisition of $1.94-priced restricted stock units that convert into Class A common shares. The filing shows 77,320 Restricted Stock Units (RSUs) were acquired with an effective/transaction date of 10/06/2025; each RSU represents the contingent right to one Class A share at $1.94. The RSUs are described as fully vested, and the underlying shares were provided to the transfer agent but remain subject to transfer restrictions and the company trading policy. The form lists an earliest transaction date of 12/20/2024 and is filed as a single reporting person filing by a director. The submission is a routine Section 16 disclosure of insider beneficial ownership changes.
Syntec Optics Holdings, Inc. filed a current report to furnish a press release announcing its financial results for the fourth quarter and full year ended December 31, 2024, as well as the first and second quarters of 2025. The company’s common stock and redeemable warrants trade on The Nasdaq Capital Market under the symbols OPTX and OPTXW. The press release is included as an exhibit, and the financial information it contains is furnished rather than filed under securities law, which affects how it may be used in certain legal contexts.
SYNTEC OPTICS HOLDINGS, INC. (OPTX) reported interim financial detail in its Form 10-Q for the period ended June 30, 2025. The company had 36,920,226 Class A shares outstanding and disaggregated revenue across end-markets with Consumer revenue of $2,525,120 and Defense revenue of $1,227,483 for one comparable period shown. Inventory and work-in-process balances are material, with work-in-process at $7,748,686.
Liquidity includes an $8.0M credit facility with M&T Bank, with $6,763,863 outstanding at June 30, 2025 and a weighted average borrowing rate of 7.31%. Total long-term debt outstanding across term notes is disclosed at $2,915,882, with scheduled maturities through 2029. Reported basic and diluted net (loss) income per share ranged around $(0.01) to $0.01 in presented periods. Significant customers represented 41%-43% of revenues from three customers, with related receivables about $2.8M.