NCPL · Netcapital Inc. · Insider Trading
Substantial doubt about the company's ability to continue as a going concern.
“Our management has determined, based on its recent history and the negative cash flow from operations, that it is unlikely that its plan will sufficiently alleviate or mitigate, to a sufficient level, the relevant conditions or events noted above. To the extent that funds generated from any private placements, public offerings and/or bank financing, if available, are insufficient, we will have to raise additional working capital. No assurance can be given that additional financing will be available, or if available, will be on acceptable terms. Accordingly, our management has concluded that these conditions raise substantial doubt about our ability to continue as a going concern.”View the 10-Q filed Mar 19, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2024-04-24 | Geary Steven F |
Director |
Buy↑
|
Common Stock
|
239,274 |
| 2023-04-25 | Geary Steven F |
Director |
Award↑
Filing footnotes — Option (right to buy) (Direct)
The options were issued pursuant to the Issuer's 2023 Omnibus Equity Incentive Plan (the "Plan") and vest and become exercisable in forty-eight (48) equal monthly installments commencing on April 25, 2023 and will become fully vested on April 25, 2027, subject to the Reporting Peron's continued service with the Issuer. |
Option (right to buy)
|
20,000 |
| 2023-04-25 | Liss Avi |
Director |
Award↑
Filing footnotes — Option (right to buy) (Direct)
The options were issued pursuant to the Issuer's 2023 Omnibus Equity Incentive Plan (the "Plan") and vest and become exercisable in forty-eight (48) equal monthly installments commencing on April 25, 2023 and will become fully vested on April 25, 2027, subject to the Reporting Peron's continued service with the Issuer. |
Option (right to buy)
|
20,000 |
| 2023-04-25 | Scott Arnold |
Director |
Award↑
Filing footnotes — Option (right to buy) (Direct)
The options were issued pursuant to the Issuer's 2023 Omnibus Equity Incentive Plan (the "Plan") and vest and become exercisable in forty-eight (48) equal monthly installments commencing on April 25, 2023 and will become fully vested on April 25, 2027, subject to the Reporting Peron's continued service with the Issuer. |
Option (right to buy)
|
20,000 |
| 2023-04-25 | Lenk Cecilia |
Director |
Award↑
Filing footnotes — Option (right to buy) (Direct)
The options were issued pursuant to the Issuer's 2023 Omnibus Equity Incentive Plan (the "Plan") and vest and become exercisable in forty-eight (48) equal monthly installments commencing on April 25, 2023 and will become fully vested on April 25, 2027, subject to the Reporting Peron's continued service with the Issuer. |
Option (right to buy)
|
20,000 |
| 2023-01-03 | Kay Martin Robert |
Director, CEO |
Award↑
Filing footnotes — Option (right to buy) (Direct)
The options were issued pursuant to the Issuer's 2023 Omnibus Equity Incentive Plan (the "Plan") subject to the approval of the Plan by the Company's stockholders and vest and become exercisable in forty-eight (48) equal monthly installments commencing on January 3, 2023 and will become fully vested on January 3, 2027, subject to the Reporting Peron's continued service with the Issuer. |
Option (right to buy)
|
1,000,000 |
| 2023-01-03 | Kraysler Coreen Sarah |
Chief Financial Officer |
Award↑
Filing footnotes — Options (right to buy) (Direct)
The options were issued pursuant to the Issuer's 2023 Omnibus Equity Incentive Plan (the "Plan") subject to the approval of the Plan by the Company's stockholders and vest and become exercisable in forty-eight (48) equal monthly installments commencing on January 3, 2023 and will become fully vested on January 3, 2027, subject to the Reporting Peron's continued service with the Issuer. |
Options (right to buy)
|
200,000 |
| 2022-02-10 | Liss Avi |
Director |
Award↑
Filing footnotes — Stock Option (Direct)
The option vests in equal monthly increments over a period of four years from the grant date. |
Stock Option
|
5,000 |
| 2022-02-10 | Kraysler Coreen Sarah |
Chief Financial Officer |
Award↑
Filing footnotes — Stock Option (Direct)
The option vests in equal monthly increments over a period of four years from the grant date. |
Stock Option
|
20,000 |
| 2022-02-10 | Geary Steven F |
Director |
Award↑
Filing footnotes — Stock Option (Direct)
The option vests in equal monthly increments over a period of four years from the grant date. |
Stock Option
|
5,000 |
| 2022-02-10 | Lenk Cecilia |
Director |
Award↑
Filing footnotes — Stock Option (Direct)
The option vests in equal monthly increments over a period of four years from the grant date. |
Stock Option
|
30,000 |