Welcome to our dedicated page for Avalon GloboCare SEC filings (Ticker: ALBT), 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.
Avalon GloboCare Corp. filings document public-company disclosures for its consumer diagnostics, generative AI software, intellectual property, and capital structure. Recent 8-K reports cover material events involving Avalon Quantum AI LLC, the Catch-Up AI video platform, Nasdaq listing-compliance notices, shareholder communications, and pro forma financial information tied to the completed sale of Avalon RT 9 Properties, LLC.
The company’s proxy and registration filings describe board elections, auditor ratification, equity incentive-plan matters, advisory compensation votes, Nasdaq-rule approvals for warrant share issuance, and securities registration matters. Avalon’s filings also address common stock, warrants, pre-funded warrants, shareholder voting mechanics, governance procedures, operating and financial results, and risk disclosures for a smaller reporting company.
Avalon GloboCare Corp. reported that Chief Strategy Officer Luisa Ingargiola received a grant of 400,000 stock options on June 29, 2026. The options have an exercise price of $0.2820 per share and expire on June 29, 2029. All shares underlying the option vested in full on the grant date. Following this award, Ingargiola holds 416,000 derivative securities directly.
Avalon GloboCare Corp. director Felix Lourdes reported a compensation-related equity award. He received options to purchase 100,000 shares of common stock on June 29, 2026, at an exercise price of $0.2820 per share. All option shares vested in full on the grant date. Following this grant, Lourdes holds 101,586 derivative option shares directly, which are scheduled to expire on June 29, 2029.
Avalon GloboCare Corp., a Delaware company listed on Nasdaq as “ALBT,” is registering a primary offering of common stock and pre-funded warrants, each sold with accompanying common warrants, plus placement agent warrants. The common warrants become exercisable either after stockholder approval of the warrant shares or immediately if specified Nasdaq “Pricing Conditions” are met, and expire five years after they first become exercisable.
Avalon has pivoted from biotech to a technology-focused model with two segments: an Agentic AI software business (including its Catch-Up short-form video platform and Beacon AI search-visibility product) and a consumer health technology business distributing the Keto Air ketosis breathalyzer in North America. The company reports substantial net losses, an accumulated deficit over $110 million, limited cash, and outstanding indebtedness, leading to substantial doubt about its ability to continue as a going concern absent additional financing.
Avalon also discloses a Nasdaq notice for failing the $1.00 minimum bid price requirement, with an initial 180-day cure period to October 12, 2026, potential further grace periods, and possible delisting if compliance is not regained. The filing highlights significant potential dilution from outstanding preferred stock, options, warrants, and new securities in this offering, as well as legal, regulatory, and commercialization risks around its AI and Keto Air products.
Avalon GloboCare Corp. entered a securities purchase agreement with an accredited investor for 400 shares of Series F Convertible Preferred Stock at a stated value of $1,000 per share, plus 200,000 common "commitment" shares, for total proceeds of $400,000.
The Series F Preferred Stock is convertible into common stock at $0.50 per share, subject to a 4.99% beneficial ownership cap and future shareholder approval for conversion. It ranks senior to common stock, carries no cash dividends, and must be redeemed in four quarterly installments at 125% of stated value if not converted.
The company also issued multiple unregistered equity awards and shares to consultants and others, including 150,000 and 750,000 restricted common shares, 200,000 common shares in consideration of a waiver, and options to purchase over 2.1 million shares at an exercise price of $0.2820 per share under its 2026 Equity Plan.
Avalon GloboCare Corp. held its annual stockholder meeting, where 4,364,690 common shares were represented, constituting a quorum. Stockholders elected four directors to one-year terms and ratified M&K CPAS, PLLC as independent registered public accounting firm for the year ending December 31, 2026.
They approved the 2026 Stock Incentive Plan and an advisory say-on-pay vote on 2025 executive compensation. Stockholders also approved issuances related to Series A-1 and A-2 warrants and placement agent warrants from a February 27, 2026 private placement, and authorized the board to implement a reverse stock split between 1‑for‑2 and 1‑for‑25 at its discretion before June 9, 2027.
Avalon GloboCare Corp. entered into two short-term promissory notes to raise cash and made key leadership changes. On June 1 and June 2, 2026, the company issued a $250,000 note to Dune Equity Holdings LLC and a $250,000 note to FirstFire Global Opportunities Fund, LLC, each including a $50,000 original issuance discount and providing $200,000 in gross proceeds for working capital and general corporate purposes.
Each note carries a one-time interest charge equal to 18.75% of the principal, scheduled payments of $62,500 on September 1, October 1, and November 1, 2026, and a final balloon payment on December 1, 2026. The notes include a most-favored-nations protection for non-convertible debt and require 25% of net proceeds from future equity, debt, or asset sales to repay outstanding amounts. A side letter grants Hudson Global Ventures, LLC a three-day right of first refusal on any Equity Line of Credit transaction for 18 months.
The board appointed Luisa Ingargiola as Chief Strategy Officer and Sam Knipper as Chief Financial Officer, effective June 3, 2026. Ingargiola’s new Executive Retention Agreement provides a $230,000 base salary, potential bonuses tied to performance, stockholder approvals, and change of control events, plus option grants for up to 750,000 shares and detailed severance and benefit protections. Knipper will serve as CFO through Brio Financial Group under a consulting arrangement where Avalon pays Brio $10,000 per month.
Avalon Globocare Corp. disclosed a joint Schedule 13G filing showing Armistice Capital, LLC and Steven Boyd report 890,521 shares, representing 9.99% of the common stock (CUSIP 05344R302). Armistice Capital is the investment manager of the Master Fund and reports shared voting and dispositive power over these shares.
Avalon GloboCare reported a Q1 2026 net loss of $4.5M, wider than $2.5M a year earlier, as it invested in AI-driven software while recording no income from its former lab services equity method investment.
The company had cash of $776K at March 31, 2026 and used $2.9M in operating cash flow, contributing to a working capital deficit of about $2.8M. Management disclosed “substantial doubt” about its ability to continue as a going concern without new capital and higher revenue.
To fund operations, Avalon raised gross proceeds of $3.25M in a February 2026 private placement of common stock, pre-funded warrants and additional warrants, and added new short-term debt totaling over $1.2M. It also sold its Avalon RT 9 real estate subsidiary to its chairman for $9.0M, treating those activities as discontinued operations while shifting focus to AI and KetoAir-related businesses.
Avalon GloboCare Corp. filed an amended report providing unaudited pro forma financial information for the previously completed $9,000,000 sale of its subsidiary Avalon RT 9 Properties, LLC, which owned the company’s headquarters building in Freehold, New Jersey.
The pro forma balance sheet as of December 31, 2025 shows total assets decreasing from $23,400,737 historically to $16,106,352 after removing RT9-related assets and liabilities, while total equity increases from $9,230,108 to $11,178,393 mainly through a $1,948,285 adjustment to additional paid-in capital. For 2025, pro forma net loss attributable to common shareholders narrows from $18,098,503 to $17,356,400 by eliminating discontinued operations tied to the property business.
Avalon GloboCare Corp. is expanding its AI video capabilities through a new collaboration involving Amazon Web Services and Caylent. Subsidiary Avalon Quantum AI LLC is working with AWS on Phase 2 of its Catch-Up agentic AI video platform, with Caylent leading development as an AWS Premier Tier Consulting Partner.
AWS has agreed to provide $125,000 of funding for this project, contingent on completion within 7 months; the work is currently estimated to be finished in about 4 months. Phase 2 aims to turn Catch-Up from a manually configured tool into a fully autonomous agentic AI video system, making it easier for content creators to generate personalized videos across multiple social media platforms.