TOP Financial Group Ltd
For the period ended Sep 30, 2026. Filed Oct 28, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Oct 28, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. - Exhibits
| Exhibit No. | Description |
| 3.1 | Fourth Amended and Restated Memorandum and Articles of Association of the Company, effective August 3, 2026 (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed with the SEC on July 31, 2026). |
| 4.1 | Form of Warrant to Purchase Class A Ordinary Shares, as amended (incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K filed with the SEC on July 20, 2026). |
| 10.1 | Form of Warrant Amendment Agreement (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on July 20, 2026). |
| 10.2† | Amended Appointment Letter, dated September 25, 2026, between the Company and Anthony S. Chan (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2026). |
| 10.3† | Amended Appointment Letter, dated September 25, 2026, between the Company and Mau Chung Ng (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2026). |
| 10.4† | Amended Appointment Letter, dated September 25, 2026, between the Company and Mei Cai (incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K filed with the SEC on September 29, 2026). |
| 31.1* | Section 302 Certification by Co-Chief Executive Officer (Ka Fai Yuen). |
| 31.2* | Section 302 Certification by Co-Chief Executive Officer (Hoi Ling Jennifer Tam). |
| 31.3* | Section 302 Certification by Chief Financial Officer (Principal Financial and Accounting Officer). |
| 32.1** | Section 906 Certification by Co-Chief Executive Officers and Chief Financial Officer. |
| 101.INS** | Inline XBRL Instance Document. The instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document. |
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document. |
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document. |
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document. |
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
| 104** | Cover Page Interactive Data File. The cover page XBRL tags are embedded within the Inline XBRL document. |
| * | Filed herewith |
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| ** | Furnished herewith |
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| † | Indicates management contract or compensatory plan or arrangement. |
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Attached as Exhibit 101 to this report are the following formatted in Inline XBRL (Extensible Business Reporting Language): (i) Condensed Consolidated Statements of Operations and Comprehensive Loss for the three and six months ended September 30, 2026 and 2025, (ii) Condensed Consolidated Balance Sheets as of September 30, 2026 and March 31, 2026, (iii) Condensed Consolidated Statements of Cash Flows for the six months ended September 30, 2026 and 2025, (iv) Condensed Consolidated Statements of Changes in Shareholders’ Equity for the three and six months ended September 30, 2026 and 2025 and (v) Notes to Condensed Consolidated Financial Statements.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.