DeFi Capital Markets, Inc. 10-K

ITEM 5 . MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES Market Information Our common stock is listed on the NYSE American under the symbol UUU. Record Holders As of July 2, 2026, 3,028,463 shares of our common stock were issued and outstanding and were owned by 103 holders of record. A number of holders of our common stock are “street name” or beneficial holders whose shares of record are held by banks, brokers, and other financial institutions. Dividend Policy During the fiscal year ended March 31, 2026, we paid a special, one-time dividend of $1.00 per common share from the proceeds of the sale of a portion of the Company’s business. We have not paid any other cash dividends on our common stock and we do not intend to pay any cash dividends in the foreseeable future. The declaration of dividends in the future, if any, will be at the discretion of our Board and will depend upon our earnings, capital requirements, and financial position. Equity Compensation Information The information required by this item regarding equity compensation plans is incorporated by reference to the information set forth in Item 12 of this Annual Report on Form 10-K. Recent Sales of Unregistered Securities None. Purchases of Equity Securities by the Issuer and Affiliated Purchasers None. ITEM 6 . [RESERV ED]