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Going-Concern Filings by Sector
10-K and 10-Q filings containing "substantial doubt" and "going concern", by the filer's SIC division, 12-month totals
2 of 5 series are above their level a year earlier·2 of 5 are at a five-year low
Plays the chart through its history. Pauses are where the data set a record or moved most.
Annual and quarterly reports (10-K, 10-Q) whose text contains both "substantial doubt" and "going concern", from EDGAR full-text search. It counts filings with the phrases, so a filing saying there is no substantial doubt still counts. The series starts in April 2009, after small companies stopped filing Forms 10-KSB and 10-QSB, which the search does not index. Sector is the SIC division of the filer's industry code as EDGAR holds it today.
Which industries the going-concern warnings come from. Services (software, business services) and manufacturing (including drug developers) carry most of them.
What this chart reads
- Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Services)as “Services”latest 2026-09-01
- Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Manufacturing)as “Manufacturing”latest 2026-09-01
- Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Mining, oil and gas)as “Mining, oil and gas”latest 2026-09-01
- Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Finance, insurance and real estate)as “Finance and real estate”latest 2026-09-01
- Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Transportation, communications and utilities)as “Transport, telecom, utilities”latest 2026-09-01
Sources
Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Services). Source: U.S. Securities and Exchange Commission, EDGAR full-text search (https://efts.sec.gov/LATEST/search-index; https://www.sec.gov/edgar/search/), counted by Palanor. SEC: "Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission."
Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Manufacturing). Source: U.S. Securities and Exchange Commission, EDGAR full-text search (https://efts.sec.gov/LATEST/search-index; https://www.sec.gov/edgar/search/), counted by Palanor. SEC: "Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission."
Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Mining, oil and gas). Source: U.S. Securities and Exchange Commission, EDGAR full-text search (https://efts.sec.gov/LATEST/search-index; https://www.sec.gov/edgar/search/), counted by Palanor. SEC: "Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission."
Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Finance, insurance and real estate). Source: U.S. Securities and Exchange Commission, EDGAR full-text search (https://efts.sec.gov/LATEST/search-index; https://www.sec.gov/edgar/search/), counted by Palanor. SEC: "Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission."
Going-Concern Filings, Trailing 12 Months (10-K and 10-Q, Transportation, communications and utilities). Source: U.S. Securities and Exchange Commission, EDGAR full-text search (https://efts.sec.gov/LATEST/search-index; https://www.sec.gov/edgar/search/), counted by Palanor. SEC: "Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission."
Charts are drawn from Palanor's signal library and recomputed from source data on every view. Transformations (changes, indexing, year-on-year rates) are Palanor's.