HeartCore Enterprises, Inc.

Overview

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• TickerHTCR on Nasdaq¹
• IndustryServices-Computer Processing & Data Preparation¹
• HeadquartersDE¹
• Incorporated inDE²
• Business address1-2-33, Higashigotanda,, Shinagawa-Ku, Tokyo, 150-0031²
• Filer category, Emerging growth company²
• Legal formCorporation

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In addition, we support client retention and expansion through ongoing advisory services following initial engagements.⁴ From its latest annual report

Corporate structure

HeartCore Enterprises, Inc. sits at the top of its group. 7 entities, 5 countries on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from subsidiaries listed in Exhibit 21 of annual reports filed with the SEC; major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What HeartCore Enterprises, Inc. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Investments

Intangibles and goodwill

Properties, in its own words

Our corporate headquarters were previously operated through HeartCore Co., Ltd. On October 31, 2025, we disposed of HeartCore Co., Ltd. and, on the same date, established Higgs Field Co., Ltd. From November 1, 2025 through January 10, 2026, Higgs Field Co., Ltd. operated from office space within HeartCore Co., Ltd. On January 11, 2026, we relocated our office to 14F, Shibuya Sakura Stage Central Building, 1-2 Sakuragaoka-cho, Shibuya-ku, Tokyo, Japan, where we lease approximately 2,005 square feet of office space from an unaffiliated third party. This lease has a term from January 11, 2026 through January 10, 2028, with an expected renewal period of an additional two years. Terms of the office lease provide for a base rent payment of $23,268 per month and a share of sales taxes of $2,327 per month.

The Japan branch office of HeartCore Financial, Inc. is located at JP Tower 14F, 2-7-2 Marunouchi, Chiyoda-ku, Tokyo, Japan, where we lease office space from an unaffiliated third party. This lease has a term ending in March 2026. Terms of the office lease provide for a base rent payment of $935 per month and a share of sales taxes of $94 per month.

Item 2 of the 10-K filed Mar 31, 2026.⁴

Leadership

Who has led HeartCore Enterprises, Inc., and when. Pick a name to see everywhere that person has worked.

• Chief executive officerSumitaka Yamamoto Feb 9, 2022 to now¹²
• ChairSumitaka Yamamoto Feb 9, 2022 to now¹²
• PresidentSumitaka Yamamoto Feb 9, 2022 to now¹²
• Chief financial officerQizhi Gao Feb 9, 2022 to now¹³
• Chief operating officerKimio Hosaka Feb 9, 2022 to now¹⁴

Subsidiaries and ownership

Subsidiaries (Exhibit 21)

• HeartCore Financial, Inc. Delaware³
• HeartCore Financial, Inc. – Japan Branch Office Japan³
• HeartCore Luvina Vietnam Company Limited Vietnam³
• Higgs Field Co., Ltd. Japan³
• Sigmaways B.V. Netherlands³
• Sigmaways Technologies Ltd. Canada³
• Sigmaways, Inc. California³

The subsidiaries the company lists in Exhibit 21 of its annual report, as filed.

Timeline

1. Sep 25, 20268-K Shareholder vote²²
2. Aug 13, 20268-K Results of operations²³
3. Aug 7, 20268-K Entered a material agreement; Regulation FD disclosure²⁴
4. Jun 25, 20268-K Entered a material agreement; Completed an acquisition or sale; Regulation FD disclosure²⁵
5. May 15, 20268-K Results of operations²⁶
6. Apr 22, 20268-K Regulation FD disclosure; Other events²⁷
7. Apr 6, 20268-K Bylaws or fiscal year changed²⁸
8. Apr 1, 20268-K Regulation FD disclosure; Other events²⁹
9. Mar 31, 20268-K Results of operations³⁰
10. Mar 27, 20268-K Bylaws or fiscal year changed³¹
11. Feb 24, 20268-K Regulation FD disclosure; Other events³²
12. Feb 11, 20268-K Results of operations³³
13. Feb 9, 2022New chief executive Sumitaka Yamamoto becomes CEO¹²

Calendar

Coming up

1. Nov 17, 2026Reports results for the quarter ending Sep/2026³⁴

When it reported results

1. Aug 13, 2026Reported quarterly or annual results²³
2. May 15, 2026Reported quarterly or annual results²⁶
3. Mar 31, 2026Reported quarterly or annual results³⁰
4. Feb 11, 2026Reported quarterly or annual results³³
5. Nov 18, 2025Reported quarterly or annual results³⁵
6. Aug 13, 2025Reported quarterly or annual results³⁶
7. May 15, 2025Reported quarterly or annual results³⁷
8. Mar 31, 2025Reported quarterly or annual results³⁸

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

209 filings to the SEC since October 2021: 6 annual reports, 14 quarterly reports, 100 major events, 39 insider forms, 3 large holders, 1 private raises, 46 other. The latest 20:

1. Sep 25, 20268-K EDGAR
2. Aug 17, 2026DEF 14A EDGAR
3. Aug 13, 202610-Q EDGAR
4. Aug 13, 20268-K EDGAR
5. Aug 7, 20268-K EDGAR
6. Jul 22, 2026SCHEDULE 13G EDGAR
7. Jun 25, 20268-K EDGAR
8. May 15, 202610-Q EDGAR
9. May 15, 20268-K EDGAR
10. Apr 22, 20268-K EDGAR
11. Apr 6, 20268-K EDGAR
12. Apr 1, 20268-K EDGAR
13. Mar 31, 202610-K EDGAR
14. Mar 31, 20268-K EDGAR
15. Mar 27, 20268-K EDGAR
16. Feb 24, 20268-K EDGAR
17. Feb 11, 20268-K EDGAR
18. Nov 20, 2025SCHEDULE 13G/A EDGAR
19. Nov 18, 202510-Q EDGAR
20. Nov 18, 20258-K EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

30 open-market trades by officers, directors and large owners since October 2021: 3 buys and 27 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• Hnatko Capital Inc.SCHEDULE 13G, 1 filing Jul 22, 2026³⁹
• Crom Structured Opportunities Fund I, LPSCHEDULE 13G/A, 2 filings Jul 14, 2025 to Nov 20, 2025⁴⁰

Executive pay

What the company paid its top executives, from the summary compensation table in its proxy statement. Total pay includes salary, bonus, stock and option awards and other pay, as the company valued them.

Money raised

Private offerings the company reported to the SEC on Form D.

1. Dec 31, 2021Raised $760,000 in a private offering of equity Form D: $1 million offered in all Form D

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026. Change is in shares since the quarter before.

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How HeartCore Enterprises, Inc. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARHeartCore Enterprises, Inc.¹
• CIK0001892322
• Employer ID (EIN)87-0913420⁴
• Filer statusNon-accelerated filer an emerging growth company; a smaller reporting company; a shell company⁴
• Incorporated inDelaware⁴
• Fiscal year endsDecember 31¹
• Industry code (SIC)7374 Services-Computer Processing & Data Preparation¹
• SEC reviewing officeOffice of Technology, Division of Corporation Finance¹
• Business address1-2-33, Higashigotanda,, Shinagawa-Ku, Tokyo, 150-0031, Japan¹
• Mailing address14F, Shibuya Sakura Stage Central Bldg.,, 1-2 Sakuragaoka-Cho, Shibuya-Ku,, Tokyo, 150-0031, Japan¹
• Phone650-695-2583¹
• Shares outstanding1,515,328 as of Aug 13, 2026¹¹
• Public float$7.6M as of Jun 30, 2025⁴
• AuditorMaloneBailey, LLP, Houston, Texas PCAOB ID 206; no auditor attestation of internal control over financial reporting⁴
• On EDGAR sinceNov 12, 2021¹
• Filings209 in all: 8-K (96), 4 (28), 10-Q (14), 3 (11), CORRESP (8), 10-K (5), DEF 14A (5), 8-K/A (4)¹
  All 33 form types

  UPLOAD (4), 144 (3), EFFECT (3), S-1/A (3), 424B5 (2), NT 10-Q (2), S-1 (2), SCHEDULE 13G (2), 10-K/A (1), 424B1 (1), 424B3 (1), 424B4 (1), 8-A12B (1), CERT (1), D (1), DEF 14C (1), DRS (1), FWP (1), NT 10-K (1), PRE 14A (1), PRE 14C (1), S-3 (1), S-3/A (1), S-8 (1), SCHEDULE 13G/A (1)

• Latest filingsAnnual report (10-K) Mar 31, 2026
  Quarterly report (10-Q) Aug 13, 2026
  Proxy statement (DEF 14A) Aug 17, 2026
  Latest 8-K (8-K) Sep 25, 2026

Securities registered for trading

From the cover page of the 10-K filed Mar 31, 2026 (Section 12(b) of the Exchange Act).⁴

Risk factors and legal proceedings

The risks HeartCore Enterprises, Inc. names in Item 1A of its 10-K filed Mar 31, 2026: 25 risks under these headings, as written.⁴

• We may not be successful in preventing the material adverse effects that any of the following risks and uncertainties may cause. These potential risks and uncertainties may not be a complete list of the risks and uncertainties facing us. There may be additional risks and uncertainties that we are presently unaware of, or presently consider immaterial, that may become material in the future and have a material adverse effect on us. You could lose all or a significant portion of your investment due to any of these risks and uncertainties.
• Risks Related to Our Business and Strategy
• We are a holding company and depend upon our subsidiary for our cash flows.
• We may require additional funding for our growth plans, and such funding may result in a dilution of your investment.
• The Company’s payment of cash dividends from additional paid-in capital may expose the Company to potential liabilities arising out of state and federal fraudulent conveyance laws and legal distribution requirements.
• We may experience significant quarterly fluctuations in our operating results due to our specialized business model and reliance on a limited number of consulting agreements, which makes our future results difficult to predict.
• We provide consulting services and ultimately do not control our client’s abilities to go public in the United States or secure a listing on American stock exchanges.
• The value of the equity rights we receive from our GO IPO clients could be volatile, lose value, and even become worthless.
• Our GO IPO business assists companies in navigating the IPO process in the U.S. markets. We do not provide investment, accounting, or legal advice. If state or federal regulatory agency determined our Company provided legal or investment advice in violation of existing law, there could be a material adverse effect on our business operations and stock value.
• General Risks
• Failure to comply with laws and regulations could harm our business.
• We are exposed to fluctuations in currency exchange rates.

Legal proceedings

From time to time, we are involved in various legal proceedings arising from the normal course of business activities. To the knowledge of our management, there are no legal proceedings currently pending against us which we believe would have a material effect on our business, financial position or results of operations and, to the best of our knowledge, there are no such legal proceedings contemplated or threatened. Defending such proceedings is costly and can impose a significant burden on management and employees. The results of any current or future litigation cannot be predicted with certainty, and regardless of the outcome, litigation can have an adverse impact on us because of defense and settlement costs, diversion of management resources, and other factors.

The opening of Item 3, Legal Proceedings.⁴