Defendant Name:
Alpine 4 Holdings, Inc.
Defendant Type:
Public Company
SIC Code:
9999
CUSIP:
02083E10
Document Reference:
34-98190
Document Details
Legal Case Name
In the Matter of Alpine 4 Holdings, Inc.
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
22-Aug-2023
Document Format
Administrative Proceeding
AAER
4444
Allegation Type
Issuer Reporting and Disclosure
Document Summary
On August 22, 2023, the SEC instituted cease-and-desist proceedings against Alpine 4 Holdings, Inc., stating: "These proceedings arise out of the violation of Exchange Act Rule 12b-25, which
requires that issuers of a security registered pursuant to Section 12 of the Exchange Act that fail to
file timely a periodic report shall file a Form 12b-25 “Notification of Late Filing,” commonly
known as “Form NT,” which contains, among other things, reasonable detail as to why the issuer’s
periodic report could not be filed on time and an explanation of any anticipated, significant changes
in the issuer’s results of operations."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Civil Penalty
Individual:
$60,000.00
Shared:
