Welcome to our dedicated page for Waton Financial SEC filings (Ticker: WTF), 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.
The Waton Financial Limited (NASDAQ: WTF) SEC filings page on Stock Titan provides access to the company’s U.S. regulatory disclosures, as filed with the Securities and Exchange Commission. Waton is a British Virgin Islands–incorporated holding company that conducts business primarily through wholly owned subsidiaries in Hong Kong, offering securities brokerage, asset management, software licensing, and financial technology services to retail and institutional investors.
Through its registration statement on Form F-1 and subsequent reports, Waton has documented its initial public offering on the Nasdaq Capital Market under the ticker "WTF" and its status as a foreign private issuer reporting on Form 20-F. Current reports on Form 6-K, such as the filing describing non-deal roadshow investor presentations, provide additional context on the company’s communications with the market. Over time, investors can expect this page to aggregate Waton’s annual reports on Form 20-F, interim 6-K submissions, and other relevant filings.
These filings outline Waton’s corporate structure, risk factors, and business description, including its focus on securities brokerage, asset management, software licensing, and AI-driven financial technology initiatives. They also provide details on its Hong Kong subsidiaries, the Nasdaq listing, and regulatory considerations associated with operating in multiple jurisdictions.
On Stock Titan, each new WTF filing is captured from EDGAR and paired with AI-powered summaries designed to clarify key points in complex documents. Users can quickly identify important disclosures in registration statements, current reports, and other submissions without reading every page. For deeper research into Waton’s business model, capital markets activity, and ongoing regulatory reporting, this SEC filings page serves as a centralized, searchable reference.
Waton Financial Limited reports two key agreements. Its subsidiary Waton AI Genius Holding Limited purchased a US$2,822,626 convertible promissory note from PandaAI Quantum Holdings, then converted it into 7,500,000 founding partner preferred shares at US$0.376350156 per share on April 16, 2026, creating an equity stake in an AI-powered quantitative trading venture.
The company also entered a Finder’s Services Agreement for its SPAC, Love & Health Limited. Waton will pay OCASIA Group Holdings an upfront US$1,200,000, creditable against a success fee generally equal to 1% of a target’s pre-money valuation above US$400 million, with fees potentially payable in cash or restricted stock units.
Waton Financial Ltd filed an initial insider ownership report for director JIANG Wen on Form 3. This filing identifies Jiang Wen as a director and confirms that, at this time, there are no reported purchases, sales, gifts, or other transactions in the company’s securities.
Waton Financial Ltd director FUNG Chi Kin has filed an initial Form 3, which is a statement of beneficial ownership for insiders. The filing lists FUNG Chi Kin as a director and shows no reported common stock or derivative transactions at this time.
Waton Financial Ltd Chief Financial Officer Wen Huaxin reported his initial beneficial ownership of 688,458 Ordinary Shares on a Form 3. These shares were issued upon vesting and exercise of restricted share units under the company’s 2024 Global Equity Incentive Plan and then transferred to WATON ESOP PLAN LTD.
The shares are held under the 2024 Global Equity Incentive Plan Trust during a mandatory two-year lock-up period. During this period, Wen Huaxin retains rights to vote, receive meeting notices, and receive dividends or other distributions on these shares, and is treated as their beneficial owner.
Waton Financial Ltd director and Chief Executive Officer CHU Chun On Franco filed an initial ownership report on Form 3. This filing establishes his status as an insider of the company but does not report any share purchases, sales, or other insider transactions.
Waton Financial Ltd director and senior advisor Rogers James Beeland Jr. filed an initial ownership report showing his stake in the company. The Form 3 lists direct ownership of 220,746 Ordinary Shares, establishing his starting position as an insider rather than recording a new purchase or sale.
Waton Financial Ltd director DU Haibo has filed a report as a reporting person for the company. The filing lists no share purchases, sales, or other transactions, and transaction metrics such as buyCount, sellCount, and exerciseCount are all shown as zero.
Waton Financial Ltd director and Chief Technology Officer Zhou Kai has reported indirect beneficial ownership of 40,980,000 Ordinary Shares. These shares are held by WATON CORPORATION LIMITED, an exempted Cayman Islands company. Approximately 47.70% of Waton Corporation is held by Triumph Team Assets and 9.40% by Waton ESOP Holdings, with both entities, along with TZed Holding, ultimately 100% owned by Zhou Kai. As sole director of Waton Corporation, he holds the voting and dispositive power over the Ordinary Shares held by that entity.
Waton Financial Limited files a post-effective amendment to register up to 5,359,719 Ordinary Shares for a best-efforts, self-underwritten offering.
The prospectus assumes an illustrative public offering price of $5.03 per share and states net proceeds (assuming full subscription) of approximately $26.60 million to be used for research and development, expansion of brokerage and asset management, sales and promotion, and working capital. Financial highlights show $6.10 million revenue for the six months ended September 30, 2025 and a net loss of $8.37 million for that period. The filing reiterates material risks tied to PRC/Hong Kong regulation, reliance on large customers historically, related-party supplier concentration, controlled‑company status, and potential HFCAA/PCAOB inspection risks.
Waton Financial Limited reported rapid growth but wider losses for the first half of fiscal 2026. Revenue for the six months ended September 30, 2025 rose 106.3% to $6.10 million from $2.96 million a year earlier, mainly from higher brokerage and commission income.
Costs grew much faster than revenue. Total operating costs and expenses increased to $13.81 million from $3.88 million, driven largely by $6.10 million of share-based compensation and higher staff costs, pushing operating loss to $7.71 million versus $0.92 million.
Net loss expanded significantly. Net loss was $8.37 million compared with $1.15 million, while adjusted net loss excluding share-based compensation was $2.26 million versus $1.15 million. Cash and cash equivalents plus segregated cash increased to $29.88 million as of September 30, 2025, from $13.90 million as of March 31, 2025.