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. received a notice from Nasdaq that its common stock no longer meets the Nasdaq Capital Market minimum bid price requirement of $1.00 per share, after trading below that level for 30 consecutive business days through April 14, 2026.
The stock remains listed under the symbol ALBT, but the company has 180 days, until October 12, 2026, to regain compliance by achieving a closing bid of at least $1.00 for 10 consecutive business days. If it still does not comply, Avalon may qualify for an additional 180‑day period if it meets other Nasdaq listing standards and may consider actions such as a reverse stock split to cure the deficiency.
Avalon GloboCare Corp. has filed a resale registration covering up to 19,436,278 shares of common stock for existing investors. These consist of 490,197 already-issued shares plus shares underlying pre-funded warrants, Series A-1 and A-2 warrants, and placement agent warrants issued in a February 2026 private placement.
The company will not receive proceeds from investors’ resale of these shares, but could receive about $6.7 million if 18,946,081 warrant shares are fully exercised for cash. Shares outstanding were 8,323,609 as of April 8, 2026 and would be 27,759,887 if all registered warrants are exercised. The filing also highlights a history of substantial losses, a $105.9 million accumulated deficit, minimal cash, and an auditor going-concern warning, underscoring the need for additional capital.
Avalon Globocare Corp. set its 2026 Annual Meeting of Stockholders for June 9, 2026, to be held virtually. Stockholders of record as of May 15, 2026 may vote at the meeting. The company also established April 12, 2026 as the deadline for shareholder proposals and director nominations.
Proposals for inclusion in the company’s proxy materials must meet the requirements of Rule 14a-8 and be received by the Corporate Secretary by April 12, 2026. Other proposals or director nominations must also comply with SEC rules, Delaware law and the company’s Amended and Restated Bylaws, or they will not be considered.
Avalon GloboCare Corp. explains that its shareholders approved several proposals related to the company’s capital structure and financing flexibility, including authorizing the Board to implement a reverse stock split in the future if deemed appropriate. The company states this approval does not mean a reverse stock split is being implemented now and that there is currently no reverse stock split planned.
Avalon describes this authorization as a standard governance measure intended to preserve flexibility as it evaluates strategic and corporate priorities, while emphasizing continued focus on executing its business strategy. The company also highlights that it uses social media channels on Stocktwits, X, Yahoo Finance and Reddit to share public information that may be considered material and encourages interested parties to review updates posted there.
Avalon Globocare Corp. stockholders approved seven proposals at a special meeting where 2,498,866 common shares were represented, constituting a quorum. Approvals covered share issuances tied to July 2025 convertible notes, a December 2025 bridge note with 100,000 commitment shares, and conversion of Series C Convertible Preferred Stock.
Stockholders also approved exchanging 5,000 shares of Series D Convertible Preferred Stock held by the board chairman for 2,074,689 common shares, issuing 450,000 restricted common shares under a consulting agreement, and granting the board authority to implement a reverse stock split between 1-for-2 and 1-for-25 without reducing authorized shares. Adjournment authority, if needed, was also approved.
Avalon GloboCare filed its annual report describing a pivot from legacy biotech and China operations into two main businesses: the Keto Air consumer breathalyzer and the RPM AI-driven short‑form video platform acquired in December 2025. The company posted a net loss of $18,260,976 in 2025, including $17,518,873 from continuing operations, and its auditors raised substantial doubt about its ability to continue as a going concern.
Cash was only $109,091 at December 31, 2025 against a working capital deficit of $12,651,237 and outstanding debt of about $1.1 million, so Avalon plans to raise additional capital and depends on future revenue from Keto Air and the RPM platform, which is still in beta with Phase 2 targeted for Q3 2026. The company also issued Series E preferred stock valued at $19.5 million to buy RPM, faces potential dilution from several preferred series and convertible notes, and must secure shareholder approval and stay within Nasdaq rules to fully convert the new preferred shares.
Avalon GloboCare Corp. completed a private placement, raising approximately $2.8 million in net proceeds from institutional investors through a mix of common stock, pre-funded warrants and Series A-1 and A-2 warrants.
The deal included 490,197 shares of common stock at $0.51 per share, pre-funded warrants to purchase up to 5,882,353 shares, and Series A-1 and A-2 warrants to purchase up to 6,372,550 shares each at an exercise price of $0.51 per share, all subject to specified ownership caps and, for the common warrants, stockholder approval. H.C. Wainwright received cash fees and placement agent warrants for 318,628 shares at $0.6375 per share, and Roth Capital Partners was paid $75,000 as financial advisor.
The company plans to use the net proceeds primarily for operating expenses, working capital, and repayment of certain outstanding debt. Separately, it issued 287,411, 230,739 and 750,522 shares of common stock on February 19, 24 and 26, 2026 upon net exercises of existing warrants, with no cash proceeds received from those exercises.
Avalon Globocare Corp. reported changes to executive and board compensation. On March 4, 2026, the Board approved a cash bonus of $175,000 for Chief Financial Officer Luisa Ingargiola in recognition of her efforts advancing the business and financial position during the 2025 fiscal year.
The Board also increased annual fees payable to lead director Steven Saunders to $95,000 for his service on the Board of Directors. These actions reflect compensation decisions rather than operational or financial performance metrics.
Avalon GloboCare Corp. reporting persons Mitchell P. Kopin, Daniel B. Asher and Intracoastal Capital LLC jointly state beneficial ownership of 490,197 shares of Common Stock, representing 7.0% of the outstanding common stock based on 7,042,348 shares outstanding as of February 27, 2026.
The filing excludes two warrants held by Intracoastal (each exercisable into 490,197 shares) because each warrant is not exercisable until stockholder approval of the issuances and contains a blocker provision limiting exercise to prevent ownership above 4.99%. Without those blocker provisions (and if exercisable), the reporting persons may be deemed to beneficially own 1,470,591 shares.