AEON Biopharma (NYSE American: AEON) lifts .BC indicator after $13.6M equity raise
Rhea-AI Filing Summary
AEON Biopharma, Inc. reports that it has regained compliance with NYSE American’s continued listing standards. NYSE Regulation confirmed that previously identified deficiencies under Sections 1003(a)(i) and 1003(a)(ii) of the NYSE American Company Guide have been resolved, so the “.BC” below-compliance indicator is expected to be removed and the company taken off NYSE American’s noncompliant issuers list, while it remains subject to ongoing listing standards.
The company regained compliance following completion of an underwritten public offering closed on July 15, 2026, involving 17,851,599 shares of Class A common stock and pre-funded warrants to purchase 24,837,008 shares, plus an additional 4,696,102 shares sold on July 23, 2026 through a partial over-allotment exercise. AEON received approximately $13.6 million in net proceeds and has the potential to receive up to $34.0 million in additional gross proceeds upon full cash exercise of milestone warrants. AEON believes its stockholders’ equity now exceeds the $4.0 million minimum required under Section 1003(a)(ii), although its June 30, 2026 balance sheet in the upcoming Form 10-Q will still show a stockholders’ deficit and reflect the offering as a subsequent event.
Positive
- AEON Biopharma has regained NYSE American listing compliance after resolving Sections 1003(a)(i) and 1003(a)(ii) deficiencies and completing an equity offering that generated $13.6 million in net proceeds; the company believes stockholders’ equity now exceeds the $4.0 million minimum requirement.
Negative
- None.
8-K Event Classification
Key Figures
Key Terms
continued listing standards regulatory
pre-funded warrants financial
milestone warrant financial
underwritten public offering financial
stockholders’ equity financial
biosimilar medical
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FAQ
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item 7.01. Regulation FD Disclosure.
On August 3, 2026, AEON Biopharma, Inc. (the “Company”) issued a press release announcing that the Company has regained compliance with the continued listing standards of NYSE American LLC (“NYSE American”). A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.
The information furnished in this Item 7.01 of this Current Report (including Exhibit 99.1) shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference in such a filing.
Item 8.01. Other Events.
On August 3, 2026, the Company received a letter from NYSE Regulation confirming that the Company has regained compliance with the continued listing standards of NYSE American.
The letter stated that the Company is in compliance with all of the NYSE American continued listing standards set forth in Part 10 of the NYSE American Company Guide (the “Company Guide”). Specifically, the Company resolved the previously identified deficiencies under Sections 1003(a)(i) and 1003(a)(ii) of the Company Guide. As a result, the Company expects that the “below compliance” (“.BC”) indicator will be removed from the Company’s trading symbol for its Class A common stock and the Company will be removed from NYSE American’s list of noncompliant issuers on its website. The Company will remain subject to NYSE American’s continued listing standards and, if the Company is again determined to be below any such standard, it could be subject to further NYSE American action.
Forward-Looking Statements
This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. The Company intends such forward-looking statements to be covered by the safe harbor provisions for forward-looking statements contained in Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. All statements in this Current Report on Form 8-K that do not relate to matters of historical fact should be considered forward-looking statements, including, without limitation, statements regarding the Company’s continued compliance with the Company Guide and the continued listing of the Company’s Class A common stock on NYSE American. The words “believe,” “may,” “will,” “estimate,” “potential,” “continue,” “anticipate,” “intend,” “expect,” “could,” “would,” “project,” “plan,” “target,” and similar expressions are intended to identify forward-looking statements, though not all forward-looking statements use these words or expressions. These forward-looking statements are based on management’s current expectations. These statements are neither promises nor guarantees and involve known and unknown risks, uncertainties and other important factors that may cause actual results, performance or achievements to be materially different from what is expressed or implied by the forward-looking statements, including, but not limited to those factors discussed in under the section entitled “Risk Factors” in the Company’s Form 10-K for the year ended December 31, 2025 filed with the Securities and Exchange Commission on March 30, 2026, as any such factors may be updated from time to time in the Company’s other filings with the SEC, which are accessible on the SEC’s website at www.sec.gov and the Company’s investor relations site at investors.aeonbiopharma.com. Forward-looking statements speak only as of the date they are made and, except as may be required under applicable law, the Company undertakes no obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No. | Description | ||||||||
99.1 | Press Release of AEON Biopharma, Inc., dated August 3, 2026 (furnished herewith). | ||||||||
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | ||||||||
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
AEON Biopharma, Inc. | ||
Date: August 3, 2026 | By: | /s/ Robert Bancroft |
Robert Bancroft | ||
President and Chief Executive Officer | ||
Exhibit 99.1
AEON Biopharma Regains Compliance with NYSE American Continued Listing Standards
Aliso Viejo, Calif., August 3, 2026 (GLOBE NEWSWIRE) -- AEON Biopharma, Inc. (“AEON” or the “Company”) (NYSE American: AEON), a biopharmaceutical company advancing ABP-450 as a biosimilar to BOTOX® (onabotulinumtoxinA) for therapeutic use to achieve full-label U.S. market entry, today announced that it has received written notice from NYSE American LLC (“NYSE American”) confirming that AEON has regained compliance with NYSE American’s continued listing standards relating to stockholders’ equity.
On August 3, 2026, the Company received a letter from NYSE Regulation confirming that the Company had resolved the previously identified deficiencies under Sections 1003(a)(i) and 1003(a)(ii) of the NYSE American Company Guide (the “Company Guide”). As a result, the Company expects that the “below compliance” (“.BC”) indicator will be removed from the Company’s trading symbol for its Class A common stock (“Common Stock”), and the Company will be removed from NYSE American’s list of noncompliant issuers on its website. The Company will remain subject to NYSE American’s standard listing monitoring procedures and remains committed to maintaining strong financial discipline and governance going forward.
The Company regained compliance following completion of its underwritten public offering (the “Offering”). On July 15, 2026, the Company closed the Offering of 17,851,599 shares of Common Stock and pre-funded warrants to purchase 24,837,008 shares of Common Stock, with each share of Common Stock or pre-funded warrant accompanied by a two-year milestone warrant to purchase one share of Common Stock and a five-year milestone warrant to purchase one share of Common Stock. On July 23, 2026, the Company sold an additional 4,696,102 shares of Common Stock pursuant to a partial exercise of the underwriters’ over-allotment option. The Company received aggregate net proceeds from the Offering of approximately $13.6 million, after deducting underwriting discounts and commissions and estimated offering expenses, with the potential to receive up to an additional $34.0 million in gross proceeds upon the full cash exercise of the milestone warrants issued in connection with the Offering. As a result of the completed Offering, the Company believes it currently has stockholders’ equity in excess of the $4.0 million minimum requirement under Section 1003(a)(ii) of the Company Guide. Because the Offering closed after the end of the Company’s second fiscal quarter, the unaudited balance sheet as of June 30, 2026, to be included in the Company’s Quarterly Report on Form 10-Q for that quarter will reflect a stockholders’ deficit and will not give effect to the net proceeds of the Offering, which will be reflected as a subsequent event.
About AEON Biopharma
AEON Biopharma is a biopharmaceutical company seeking accelerated and full-label access to the U.S. therapeutic neurotoxin market via biosimilarity to BOTOX®. The U.S. therapeutic neurotoxin market exceeds $3.0 billion annually, representing a major opportunity for biosimilar entry. The Company’s lead asset is ABP-450 for debilitating medical conditions. ABP-450 is the same botulinum toxin complex currently approved and marketed for cosmetic indications by Evolus, Inc. under the name Jeuveau®. ABP-450 is manufactured by Daewoong Pharmaceutical in compliance with current Good Manufacturing Practice, or cGMP, in a facility that has been approved by the U.S. Food and Drug Administration, Health Canada, and European Medicines Agency. The product is approved as a biosimilar in India, Mexico, and the Philippines. AEON has exclusive development and distribution rights for therapeutic indications of ABP-450 in the United States, Canada, the European Union, the United Kingdom, and certain other international territories. To learn more about AEON, visit www.aeonbiopharma.com.
Forward-Looking Statements
This press release contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934, each as amended. Forward-looking statements include all statements that do not relate solely to historical or current facts, including without limitation statements regarding the Company’s ability to maintain compliance with NYSE American’s continued listing standards, the Company’s product development and regulatory
Exhibit 99.1
plans, and the Company’s business prospects, and can be identified by the use of words such as “may,” “will,” “expect,” “project,” “estimate,” “anticipate,” “plan,” “believe,” “potential,” “should,” “continue” or the negative versions of those words or other comparable words. Forward-looking statements are not guarantees of future actions or performance. These forward-looking statements are based on information currently available to the Company and its current plans or expectations and are subject to a number of risks and uncertainties that could significantly affect current plans. Should one or more of these risks or uncertainties materialize, or the underlying assumptions prove incorrect, actual results may differ significantly from those anticipated, believed, estimated, expected, intended, or planned. Although the Company believes that the expectations reflected in the forward-looking statements are reasonable, the Company cannot guarantee future results, performance, or achievements. Except as required by applicable law, including the securities laws of the United States, the Company does not intend to update any of the forward-looking statements to conform these statements to actual results.
Factors that may cause actual results to differ materially from current expectations include, but are not limited to: (i) AEON’s ability to maintain compliance with NYSE American’s continued listing standards; (ii) the Company’s ability to obtain additional and sufficient financing; (iii) the Company’s anticipated financial performance, including cash and cash equivalents; (iv) the Company’s plans regarding any interactions with the U.S. Food and Drug Administration; (v) the outcome of regulatory interactions; and (vi) other risks and uncertainties set forth in the sections entitled “Risk Factors” and “Cautionary Note Regarding Forward-Looking Statements” in the Company’s filings with the SEC, which are available on the SEC’s website at www.sec.gov.
Investor Contact:
Hershel Berry
Blueprint Life Science Group
Hberry@bplifescience.com
Source: AEON Biopharma