Welcome to our dedicated page for Aeon Biopharma SEC filings (Ticker: AEON), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The AEON Biopharma, Inc. (AEON) SEC filings page on Stock Titan aggregates the company’s official disclosures to the U.S. Securities and Exchange Commission, providing structured access to its regulatory and financial reporting. AEON is a clinical-stage biopharmaceutical company developing ABP-450 (prabotulinumtoxinA) injection as a proposed BOTOX biosimilar for therapeutic indications under the FDA’s 351(k) biosimilar pathway. Its filings offer detailed insight into this development strategy, capital structure, and governance.
Key documents include Form 8-K current reports describing material events such as the Securities Purchase Agreement for a PIPE private placement, the Exchange Agreement with Daewoong Pharmaceutical to convert senior secured convertible notes into equity, a new note due 2030, and warrants, and updates on corporate presentations made available to investors. These filings explain terms of new securities, warrant structures, conversion mechanics, and conditions tied to stockholder approval and NYSE American rules.
AEON’s definitive proxy statement on Schedule 14A details proposals for a special meeting of stockholders, including approval of the PIPE financing, the Daewoong note exchange, and amendments to the company’s incentive award plan. This proxy statement outlines how these transactions relate to funding the development and potential commercialization of ABP-450 as a biosimilar to BOTOX, and describes voting procedures and board recommendations.
Periodic filings referenced in the company’s 8-Ks, such as its Form 10-K for the fiscal year ended December 31, 2024, provide broader context on risk factors, forward-looking statements, and financial reporting policies. AEON’s 8-Ks also furnish quarterly earnings press releases, which include condensed consolidated financial statements and discussions of operating expenses, research and development spending, and changes in fair value of financial instruments.
On Stock Titan, these filings are complemented by AI-powered summaries that highlight the most important points in lengthy documents, helping users quickly understand complex topics like convertible note exchanges, warrant anti-dilution provisions, and biosimilar regulatory milestones. Real-time updates from EDGAR ensure that new forms—whether 8-Ks, proxy statements, or annual and quarterly reports—are available promptly. Users can also track equity-related disclosures, including inducement grants and incentive plan changes, to better understand AEON’s governance and compensation practices.
AEON Biopharma, Inc. reported that executive Wilson Alexander Blair, its CLO, CSO and Corporate Secretary, acquired Class A common stock through equity compensation awards rather than open-market purchases.
On February 17, 2026, he received an award of 862,500 restricted stock units, vesting in substantially equal installments on each of the first four anniversaries of the grant date, subject to continued service. On March 4, 2026, 1,316,872 previously cash-settled restricted stock units granted on May 21, 2025 were modified to be settled in stock instead of cash, with the original four-year vesting schedule maintained. Both transactions were reported at a price of $0.00 per share and are classified as direct ownership, bringing Blair’s total directly held Class A shares to 2,183,005 after the March 4 transaction.
AEON Biopharma, Inc. reported that its principal accounting officer, Jennifer Sy, acquired Class A common stock through equity awards. On
Bancroft Robert E. reported acquisition or exercise transactions in this Form 4 filing.
AEON Biopharma, Inc. reported that President and CEO Robert E. Bancroft received a grant of 3,000,000 shares of Class A Common Stock in the form of restricted stock units on February 17, 2026. The award was granted at a price of $0.00 per share.
These restricted stock units vest in substantially equal installments on each of the first, second, third, and fourth anniversaries of the grant date, subject to his continued service. Following this award, his directly held Class A Common Stock stake reported in this filing is 3,177,103 shares.
AEON Biopharma is registering for resale up to 51,292,953 shares of its Class A common stock pursuant to registration rights and related agreements, including an Exchange Agreement, a Private Placement and a Settlement Agreement.
The registration covers Resale Shares consisting of issued shares, shares issuable upon exercise of Pre-Funded Warrants, PIPE/Warrants, True-up Warrants, Daewoong Warrants and Settlement Warrants, and the Company will receive no proceeds from sales by the Registered Holders. Shares outstanding were 25,303,058 as of January 31, 2026. The filing discloses beneficial ownership limits of 49.9% and 9.9% for certain holders and lists per-holder maximum resale examples, including Pointilist Global Macro Series 5,923,647 and Jorey A Chernett Revocable Living Trust 3,949,098.
AEON Biopharma, Inc. has filed a shelf registration statement covering the resale of up to 51,292,953 shares of its Class A common stock. These shares include stock already issued and stock issuable upon exercise of various pre-funded, PIPE, true-up, Daewoong and settlement warrants held by existing investors.
The company will not receive any proceeds from the resale of these shares by the registered holders, though it will receive cash if the warrants are exercised. AEON develops ABP-450, a botulinum toxin product intended as a BOTOX biosimilar for therapeutic uses, under an exclusive development and distribution arrangement with Daewoong in key global territories.
The prospectus notes that AEON’s independent auditor included an explanatory paragraph in the latest annual financial statements indicating that recurring operating losses, net capital deficiency and negative operating cash flows raise substantial doubt about the company’s ability to continue as a going concern.
Daewoong Co., Ltd. filed a Form 3 showing its status as a more than 10% beneficial owner of AEON Biopharma, Inc. common stock through Daewoong Pharmaceutical Co., Ltd. It reports 58,023 AEON common shares held directly and 11,951,714 shares held indirectly via Daewoong Pharmaceutical.
The filing also lists derivative positions held indirectly, including a senior secured convertible note with
Daewoong Co., Ltd. and Daewoong Pharmaceutical Co., Ltd. report near‑control ownership of AEON Biopharma, Inc. through a note‑for‑equity exchange. Daewoong Pharmaceutical exchanged previously issued $5.0 million and $10.0 million senior secured convertible notes for 11,918,380 newly issued AEON common shares and a new $1,500,000 senior secured convertible note.
As part of the exchange, Daewoong Pharmaceutical also received warrants to purchase up to 8,000,000 AEON common shares at an exercise price of $1.09392 per share. Based on 24,024,282 AEON common shares outstanding as of January 21, 2026, the reporting persons disclose beneficial ownership of approximately 50% of the company’s common stock, with stated beneficial ownership percentages of 49.99% and 49.75% on the cover pages.
The filing explains that Daewoong Pharmaceutical manufactures AEON’s sole product candidate, ABP‑450, under an exclusive license and supply relationship, and that the purpose of the transaction is to strengthen this strategic partnership. The reporting persons state they currently have no intent to sell or dispose of the reported AEON shares in the foreseeable future, while reserving the flexibility to buy or sell securities over time subject to market conditions and legal requirements.
AEON Biopharma’s major partner Daewoong has updated its stake and financing arrangements. The filing shows Daewoong Co., Ltd. now beneficially owns 91,357 AEON common shares, or 0.9% of the company, based on 10,532,802 shares outstanding as of March 21, 2025. Daewoong Pharmaceutical Co., Ltd. directly holds 33,334 shares, or 0.3%.
The ownership percentage fell below 1% due to dilution from AEON’s January 7, 2025 public offering and a 1‑for‑72 reverse stock split on February 24, 2025; Daewoong reports no share transactions since July 2023. The filing also details senior secured convertible notes of
AEON Biopharma completed an exchange of its senior secured convertible notes held by Daewoong for a mix of equity and new securities. In full satisfaction of the old notes, AEON issued 11,918,380 shares of common stock, 11,236,631 pre-funded warrants, a new senior secured convertible note with a principal amount of
Stockholders approved a PIPE financing proposal authorizing 4,616,924 shares (or pre-funded warrants), 6,581,829 warrants and shares issuable under True-Up Warrants, as well as an amended 2023 incentive plan and the Daewoong note exchange. AEON and Daewoong also amended their license so that a termination purchase right will expire once Daewoong sells 50% of its AEON common stock. A second closing of the previously agreed private placement is expected in the week of January 26, 2026, adding more shares and warrants under the approved PIPE structure.