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.
AEON Biopharma SEC filings document its ABP-450 biosimilar program, operating and financial results, governance matters, capital structure, and NYSE American listing-status disclosures. Form 8-K reports cover material events such as financial results, Regulation FD presentations, executive appointments and compensatory arrangements, and continued-listing rule notices tied to stockholders’ equity requirements.
Proxy statements record shareholder voting procedures and meeting proposals, including capital-structure approvals tied to Class A common stock, warrants, and senior secured convertible note matters. The filings also identify AEON’s Class A common stock listed on NYSE American and describe disclosure topics common to a development-stage biopharmaceutical issuer.
AEON Biopharma, Inc. chief medical officer Chad Oh reported receiving equity awards of Class A common stock as compensation. On February 17, 2026, he was granted 862,500 restricted stock units that vest in four substantially equal annual installments, starting on the first anniversary 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 upon vesting, while keeping the same four-year vesting schedule from the 2025 grant date. After these awards, his direct holdings increased to 2,183,436 shares of Class A common stock. These are compensation-related acquisitions, not open-market purchases or sales.
AEON Biopharma appointed John Bencich as Chief Financial Officer effective March 9, 2026, and principal financial officer effective April 1, 2026, as part of a plan to strengthen its leadership during key regulatory and financing milestones. He brings more than 25 years of biotechnology and life sciences finance experience, including prior CEO, COO and CFO roles at several public and private companies.
His employment agreement provides a $450,000 base salary, a 40% target cash bonus opportunity, severance protections, and equity inducement grants of 754,717 restricted stock units and 235,849 performance-based restricted stock units under AEON’s 2025 Employment Inducement Incentive Award Plan. AEON also entered into a new employment agreement with Chief Accounting Officer Jennifer Sy, maintaining her existing pay and bonus targets while formalizing severance and change-in-control protections. The Board amended the Inducement Plan to reserve an additional 1,000,000 shares of Class A common stock for future equity awards.
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 February 17, 2026, she received an award of 575,000 restricted stock units that vest in substantially equal installments over four years, subject to continued service. On March 4, 2026, 925,925 previously granted cash-settled restricted stock units from May 21, 2025 were modified to be settled in stock instead of cash, while retaining the same four-year vesting schedule.
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 $1,500,000 principal, Pre-Funded Warrants for up to 11,236,631 shares at an exercise price of $0.0001 per share, and a Common Stock Warrant for up to 8,000,000 shares at $1.0939 per share.
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.