UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 | |||||||||||||||||
For the fiscal year ended December 30 , 2023
or
Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 | |||||||||||||||||
Commission File No. 000-19621
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |||||||||||||||||||||||||
(Address of principal executive offices) | (Zip Code) | |||||||||||||||||||||||||
Registrant’s telephone number, including area code: 702 -997-5968
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||||||||||||||||||||||||
Securities registered pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. o Yes x No
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. o Yes x No
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports) and (2) has been subject to such filing requirements for the past 90 days. x Yes o No
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). x Yes o No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer or a smaller reporting company. See the definitions of “large accelerated filer”, “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer | o | Accelerated filer | o | x | |||||||||||||||||||||||||||||||||||||||||||||||||
Smaller reporting company | Emerging growth company | ||||||||||||||||||||||||||||||||||||||||||||||||||||
If any emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards pursuant to Section 13(a) of the Exchange Act. o
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal controls over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. o
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. o
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). o
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). o Yes x No
The aggregate market value of the registrant’s common stock held by non-affiliates, based on the closing sales price of such stock on July 1, 2023 was $2,981,872 .
The number of shares outstanding of the registrant’s common stock as of April 8, 2024 was 8,593,636 .
TABLE OF CONTENTS
Page | |||||
INTRODUCTORY STATEMENT
ALT5 Sigma Corporation is filing this Amendment No. 1 to its Annual Report on Form 10-K for the fiscal year ended December 30, 2023 for the purpose of filing the correct Exhibits 31.1, 31.2, 32.1, and 32.2 to replace those that were misdated in the original filing. Other than the filing of these replacement exhibits and the dating of this Amendment, there are no changes to that Annual Report.
Table of Contents
PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
(a)Financial Statements, Financial Statement Schedules and Exhibits
3.Exhibits
See Index to Exhibits
Index to Exhibits
Exhibit No. | Description | |||||||
31.1+ | ||||||||
31.2+ | ||||||||
32.1+ | ||||||||
32.2+ | ||||||||
104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | |||||||
+ | Filed herewith. | |||||||
SIGNATURES
Pursuant to the requirements of Section 13 or Section 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on our behalf by the undersigned, thereunto duly authorized.
March 25, 2025 | ALT5 Sigma Corporation (Registrant) | |||||||||||||||||||||||||
By | /s/ Tony Isaac | |||||||||||||||||||||||||
Tony Isaac | ||||||||||||||||||||||||||
President | ||||||||||||||||||||||||||
Pursuant to the requirements of the Securities Exchange Act of 1934, this Report has been signed by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.
Signature | Title | Date | ||||||||||||||||||||||||||||||||||||||||||
Principal Executive Officer | ||||||||||||||||||||||||||||||||||||||||||||
/s/ Tony Isaac | President, Treasurer | March 25, 2025 | ||||||||||||||||||||||||||||||||||||||||||
Tony Isaac | ||||||||||||||||||||||||||||||||||||||||||||
Principal Financial and Accounting Officer | ||||||||||||||||||||||||||||||||||||||||||||
/s/ Virland A. Johnson | Chief Financial Officer | March 25, 2025 | ||||||||||||||||||||||||||||||||||||||||||
Virland A. Johnson | ||||||||||||||||||||||||||||||||||||||||||||
Directors | ||||||||||||||||||||||||||||||||||||||||||||
/s/ Tony Isaac | Director | March 25, 2025 | ||||||||||||||||||||||||||||||||||||||||||
Tony Isaac | ||||||||||||||||||||||||||||||||||||||||||||
/s/ Richard Butler | Director | March 25, 2025 | ||||||||||||||||||||||||||||||||||||||||||
Richard Butler | ||||||||||||||||||||||||||||||||||||||||||||
/s/ John Bitar | Director | March 25, 2025 | ||||||||||||||||||||||||||||||||||||||||||
John Bitar | ||||||||||||||||||||||||||||||||||||||||||||
/s/ Nael Hajjar | Director | March 25, 2025 | ||||||||||||||||||||||||||||||||||||||||||
Nael Hajjar | ||||||||||||||||||||||||||||||||||||||||||||