Welcome to our dedicated page for Proshares Morningstar Alts Solu 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.
A1 Financial Corporation reported a very weak quarter for the 13 weeks ended March 28, 2026, driven by its WLFI cryptocurrency holdings. Revenue was relatively flat at $4.7 million, but an unrealized loss of $348.3 million on WLFI tokens pushed net loss to $271.5 million, or $(2.14) per share.
Total assets fell to $959.7 million from $1.22 billion, mainly as WLFI fair value dropped to $706.4 million. The company ended the quarter with a working capital deficit of about $5.5 million and negative operating cash flow of $12.3 million. Management states that these conditions raise substantial doubt about its ability to continue as a going concern, despite a new $15 million loan from related party WLFI and the large WLFI token position.
A1 Financial Corporation reported a very weak quarter for the 13 weeks ended March 28, 2026, driven by its WLFI cryptocurrency holdings. Revenue was relatively flat at $4.7 million, but an unrealized loss of $348.3 million on WLFI tokens pushed net loss to $271.5 million, or $(2.14) per share.
Total assets fell to $959.7 million from $1.22 billion, mainly as WLFI fair value dropped to $706.4 million. The company ended the quarter with a working capital deficit of about $5.5 million and negative operating cash flow of $12.3 million. Management states that these conditions raise substantial doubt about its ability to continue as a going concern, despite a new $15 million loan from related party WLFI and the large WLFI token position.
CRCM LP and affiliated filers reported shared beneficial ownership of 12,611,530 shares of ALT5 Sigma Corp Common Stock, representing 9.9% of the outstanding shares. The filing shows the denominator used was 127,166,254 shares outstanding as of April 9, 2026. Separate CRCM entities include CRCM Institutional Master Fund (BVI) with 8,080,000 shares (6.3%), CRCM B SPV with 3,720,847 shares (2.9%), and CRCM Fintech Fund with 693,403 shares (0.5%). The filing states the Investment Manager, General Partner, and Chun R. Ding may be deemed beneficial owners by virtue of managerial roles but disclaim beneficial ownership.
CRCM LP and affiliated filers reported shared beneficial ownership of 12,611,530 shares of ALT5 Sigma Corp Common Stock, representing 9.9% of the outstanding shares. The filing shows the denominator used was 127,166,254 shares outstanding as of April 9, 2026. Separate CRCM entities include CRCM Institutional Master Fund (BVI) with 8,080,000 shares (6.3%), CRCM B SPV with 3,720,847 shares (2.9%), and CRCM Fintech Fund with 693,403 shares (0.5%). The filing states the Investment Manager, General Partner, and Chun R. Ding may be deemed beneficial owners by virtue of managerial roles but disclaim beneficial ownership.
AI Financial Corporation submitted a Form 12b-25 notifying the SEC it cannot timely file its Quarterly Report on Form 10-Q for the 13-week period ended March 28, 2026.
The delay is tied to a reaudit of the company’s 2024 fiscal year financial statements after a mid-year auditor change and the replacing auditor’s subsequent unavailability. The company expects to file the Form 10-Q on or before May 18, 2026 under the five-calendar-day extension provided by Rule 12b-25. The company also discloses an expected fiscal-year net loss of $340 million - $345 million for the year ended December 27, 2025.
AI Financial Corporation submitted a Form 12b-25 notifying the SEC it cannot timely file its Quarterly Report on Form 10-Q for the 13-week period ended March 28, 2026.
The delay is tied to a reaudit of the company’s 2024 fiscal year financial statements after a mid-year auditor change and the replacing auditor’s subsequent unavailability. The company expects to file the Form 10-Q on or before May 18, 2026 under the five-calendar-day extension provided by Rule 12b-25. The company also discloses an expected fiscal-year net loss of $340 million - $345 million for the year ended December 27, 2025.
AI Financial Corporation, formerly ALT5 Sigma Corporation, has officially changed its corporate name and Nasdaq ticker. The company’s name changed to AI Financial Corporation on April 28, 2026, and its common stock began trading under the new ticker AIFC on April 29, 2026.
The name change was completed through a short-form merger with a wholly owned Nevada subsidiary created solely for this purpose, with the parent company surviving. The company’s CUSIP number, transfer agent, and Frankfurt ticker 5AR1 remain the same, and trading on Nasdaq continues without interruption.
No action was required from stockholders for either the name change or the ticker change. Management describes the new identity as reflecting an ongoing evolution toward a broader financial platform focused on payments, tokenization, and AI-driven financial infrastructure built on systems that have processed more than $8 billion in cumulative transaction volume.
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.