Legal & controls
Item 3 and Item 9A as filed · every verdict is the registrant’s own sentence, printed below it · a filing that fails an extraction gate reads “not extracted”
| Fiscal year | Filed | Item 3 | ICFR | disclosure controls | material weakness | Filing |
|---|---|---|---|---|---|---|
| 2025-12-31 | 2026-02-27 | as filed | effective | effective | none in Item 9A | EDGAR |
Item 3 · We, and our subsidiaries, are not a party to, and our property is not the subject of, any material pending legal proceedings. Item 9A · ICFR · Our management has concluded that, as of December 31, 2025, our internal control over financial reporting was effective based on these criteria. Item 9A · disclosure controls · Based upon that evaluation, our Chief Executive Officer and Chief Financial Officer concluded that, as of December 31, 2025, our disclosure controls and procedures were effective. | ||||||
| 2024-12-31 | 2025-03-03 | as filed | effective | effective | remediated (prior year) | EDGAR |
Item 3 · We, and our subsidiaries, are not a party to, and our property is not the subject of, any material pending legal proceedings. Item 9A · ICFR · Our management has concluded that, as of December 31, 2024, our internal control over financial reporting was effective based on these criteria. Item 9A · disclosure controls · Based upon that evaluation, our Chief Executive Officer and Chief Financial Officer concluded that, as of December 31, 2024, our disclosure controls and procedures were effective. Item 9A · material weakness · Remediation of Material Weakness. | ||||||
| 2023-12-31 | 2024-02-29 | as filed | effective | effective | none in Item 9A | EDGAR |
Item 3 · We, and our subsidiaries, are not a party to, and our property is not the subject of, any material pending legal proceedings. Item 9A · ICFR · Our management has concluded that, as of December 31, 2023, our internal control over financial reporting was effective based on these criteria. Item 9A · disclosure controls · Based upon that evaluation, our Chief Executive and Chief Financial Officers concluded that, as of December 31, 2023, our disclosure controls and procedures were effective. | ||||||
| 2022-12-31 | 2023-03-01 | described here | effective | effective | none in Item 9A | EDGAR |
Item 3 · In July 2022, a putative securities class action (the Class Action Lawsuit) complaint was filed in the US District Court for the Southern District of New York against the Company and two of its officers, purportedly on behalf of all shareholders who purchased or otherwise acquired TG Therapeutics common stock between January 15, 2020 and May 31, 2022 (the Class Period). The case was captioned Shapiro v. TG Therapeutics, Inc., et al., Case No. 1:22-cv-06106. The complaint alleged that the Company and the named officers violated the federal securities laws by allegedly making materially false and misleading statements throughout the Class Period concerning the Company’s business and operations relating to ublituximab and umbralisib, and sought monetary damages. In January 2023, the Court dismissed the action in full, with prejudice. Item 9A · ICFR · Our management has concluded that, as of December 31, 2022, our internal control over financial reporting was effective based on these criteria. Item 9A · disclosure controls · Based upon that evaluation, our Chief Executive and Chief Financial Officers concluded that, as of December 31, 2022, our disclosure controls and procedures were effective. | ||||||
| 2021-12-31 | 2022-03-01 | as filed | effective | effective | none in Item 9A | EDGAR |
Item 3 · We, and our subsidiaries, are not a party to, and our property is not the subject of, any material pending legal proceedings. Item 9A · ICFR · Our management has concluded that, as of December 31, 2021, our internal control over financial reporting was effective based on these criteria. Item 9A · disclosure controls · Based upon that evaluation, our Chief Executive and Chief Financial Officers concluded that, as of December 31, 2021, our disclosure controls and procedures were effective. | ||||||
5 of 5 annual reports on record have their filing text cached on this host; the rest are listed with their EDGAR link and no extraction, because this surface never fetches from SEC on a page load.
- Item 3 and Item 9A are located in the filing HTML already cached on this host and read with the same line-anchored item matcher and largest-gap body disambiguation the filing-narrative pass uses for Item 1A and Item 7 — no fetch, no model, no summarization.
- A heading is accepted as a section only when it is not a table-of-contents row (a trailing page number), not a quoted reference in prose, and names its own section; the span must then clear a per-item length band and carry readable text after the heading. Anything that fails a gate is served as 'not extracted' with the reason — never as a default value.
- An effectiveness conclusion is read only from a sentence that names its own control set (disclosure controls and procedures, or internal control over financial reporting) and states an outcome. Conditional sentences — the standard limitations paragraph and forward-looking remediation language — are excluded, because they are hypotheses rather than conclusions.
- When a filing's own sentences disagree — an effective conclusion beside an unremediated material-weakness disclosure, or two conclusions of opposite sign — no verdict is asserted. A wrong 'controls were effective' reading is worse than no reading.
- Every verdict is shown beside the verbatim sentence it was read from. The excerpt is the filing's own words, capped at 1,200 characters; the filing itself is one link away.