Netcapital Inc.
For the period ended Jan 31, 2026. Filed Mar 19, 2026.
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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.
Jan 31, 2026 · Filed Mar 19, 2026
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Item 5. Other Information
On March 4, 2026, the Company and certain of its current and former officers and other parties associated with it, received “Wells Notices” from the staff of the SEC. See*“---Item 1A. Risk Factors – We are involved in an ongoing SEC investigation, which could divert management’s focus, result in substantial investigation expenses and have an adverse impact on our reputation, financial condition, results of operations and cash flows.”*for additional information.
Rule 10b5-1 Trading Plans
During the fiscal quarter ended January 31, 2026, none of the Company’s directors or executive officers adopted orterminated any contract, instruction or written plan for the purchase or sale of Company securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement.”
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