Welcome to our dedicated page for Alzamend Neuro SEC filings (Ticker: ALZN), 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.
Alzamend Neuro, Inc. files regulatory reports that document its status as a Nasdaq-listed clinical-stage biopharmaceutical company and emerging growth company. Recent disclosures cover common stock registered on The Nasdaq Capital Market, annual meeting and proxy matters, stockholder voting results, and board and governance records.
The company's filings also describe capital-structure activity, including at-the-market offering documents, unregistered common stock issuances tied to convertible preferred stock, elimination of Series B and Series C preferred stock designations, and Nasdaq continued-listing compliance matters. These records frame ALZN's financing, governance and public-company reporting obligations around its neurodegenerative and psychiatric-disorder development programs.
Alzamend Neuro, Inc. is a clinical-stage biopharmaceutical company developing two candidates for Alzheimer’s disease, bipolar disorder, major depressive disorder and PTSD. Lead asset AL001 is an ionic cocrystal of lithium intended to improve neuroprotective use with a broader therapeutic window than existing lithium salts.
AL001 has completed Phase I and Phase IIA studies and a Phase II imaging study in healthy volunteers, where it delivered 101% of total lithium blood exposure and 97% of peak levels versus lithium carbonate, with higher brain concentrations and faster brain uptake. A Phase II “Lithium in Brain” trial in bipolar disorder began in 2026, with additional trials in MDD, PTSD and Alzheimer’s planned through 2027 and Phase III studies intended thereafter. Second program ALZN002, an autologous dendritic cell vaccine targeting amyloid-beta, showed clean GLP toxicology and entered a Phase I/IIA trial, but progress paused after the CRO contract ended; a restart is not expected until early 2027. The company operates under multiple university license agreements carrying 3–4.5% royalties and substantial milestone payments and notes it may need significant additional capital and may not achieve profitability for several years, if at all.
Alzamend Neuro, Inc., a Delaware corporation listed on the Nasdaq Capital Market under the symbol ALZN, reported that director Lynne Fahey McGrath, M.P.H., Ph.D. passed away on July 20, 2026. She had served on the Board of Directors since the company’s initial public offering in June 2021.
Board Chairman William B. Horne described her “sudden passing” as a profound loss, highlighting her passion for the company, focus on corporate governance, generosity with her time, and significant insights and biopharmaceutical knowledge. He emphasized that she was regarded as irreplaceable and extended condolences to her family, friends, and all those whose lives she touched.
Alzamend Neuro, Inc. reported the results of its annual stockholder meeting. Stockholders, representing 3,804,741 shares of common stock as of the record date, elected seven directors to serve until the next annual meeting and ratified Haskell & White LLP as the independent auditor for the year ending April 30, 2026.
They also approved, on a non-binding advisory basis, executive compensation and the Company’s 2025 Stock Incentive Plan, as well as equity issuances to directors and executive officers for Nasdaq Listing Rule 5635(c) compliance. Stockholders authorized an amendment to the Certificate of Incorporation to permit a reverse stock split at a ratio between one-for-two and one-for-ten, to be implemented at the board’s discretion any time before April 16, 2027, and approved potential adjournments of the meeting to solicit additional proxies if needed.
Alzamend Neuro, Inc. director Milton C. Ault III, through affiliated entities, reported an indirect open-market purchase of 108,388 shares of common stock at $1.0047 per share on April 14, 2026, executed by Ault Lending, LLC.
After this trade, Ault Lending, LLC held 116,648 common shares. Separate indirect holdings disclosed include 11,068 shares held by Ault Life Sciences, Inc. and 61 shares held by Ault Life Sciences Fund, LLC, with Mr. Ault having voting and investment power over these entities’ positions.
Alzamend Neuro, Inc. reported that Nasdaq has notified the company its stockholders’ equity no longer meets the Nasdaq Capital Market minimum of $2.5 million. Based on its Form 10-Q, stockholders’ equity was about $2.2 million as of January 31, 2026.
The notice does not immediately affect trading, and the stock will continue on Nasdaq under the symbol ALZN. Alzamend has 45 days, until May 4, 2026, to submit a plan to regain compliance and could receive up to September 16, 2026 to demonstrate compliance if Nasdaq accepts the plan. The company is evaluating options but warns there is no assurance its plan will be accepted or that compliance will be restored.
If Alzamend cannot regain compliance or meet other Nasdaq requirements, its common stock could be delisted, though it would have the right to appeal to a Nasdaq Hearings Panel. The company also highlights ongoing risks, including continued losses, negative cash flow, need for additional funding, limited revenue from its core platform, and an evolving business model.
Alzamend Neuro, Inc. reported a net loss of $2.2 million for the quarter and $5.9 million for the nine months ended January 31, 2026, with no product revenue as it advances two CNS drug candidates, AL001 and ALZN002.
Research and development expenses rose sharply to $1.3 million for the quarter and $3.2 million year‑to‑date, mainly from AL001 Phase II work with Massachusetts General Hospital. General and administrative expenses were $0.9 million for the quarter and $2.7 million for nine months, driven by legal fees, including litigation related to an ALZN002 CRO.
Cash was $2.7 million and working capital $1.8 million as of January 31, 2026, after using $5.3 million in operating cash flows and raising $4.0 million from Series C preferred stock. Management states there is “substantial doubt” about the company’s ability to continue as a going concern without additional financing and has launched a $3.0 million at‑the‑market equity program. The company also reports a continuing material weakness in internal control over financial reporting.
Alzamend Neuro, Inc. has filed a prospectus supplement to sell up to $3,000,000 of its common stock in an at-the-market offering through Ascendiant Capital Markets, LLC.
The sales agent will act as an agent or principal and receive a fee equal to 3% of gross proceeds. As of the prospectus supplement date, there were 3,804,741 shares issued and outstanding.
Alzamend Neuro, Inc. entered into an at-the-market sales agreement with Ascendiant Capital Markets to offer up to $3.0 million of its common stock. The shares will be issued from time to time under the company’s existing Form S-3 shelf registration.
Sales will be made through Ascendiant acting as sales agent, using commercially reasonable efforts and within parameters such as share amounts, timing, daily limits, and minimum prices that Alzamend sets. Either party can suspend offers or terminate the agreement by written notice. A legal opinion on the validity of the shares and the full agreement are filed as exhibits.
Alzamend Neuro is asking stockholders to vote at its virtual 2026 annual meeting on April 17, 2026 at 12:00 p.m. Eastern time. Stockholders will elect seven directors, ratify Haskell & White LLP as auditor, and give a non-binding advisory vote on executive compensation.
They are also asked to approve a 2025 Stock Incentive Plan covering 1.6 million shares of common stock and separate equity issuances to directors and executive officers. As of the February 25, 2026 record date, 3,804,741 shares of common stock were outstanding, with a 35% quorum requirement.
Another key proposal would amend the certificate of incorporation to authorize a reverse stock split of common stock at a ratio between 1-for-2 and 1-for-10, at the Board’s discretion any time before April 16, 2027. A final proposal would permit adjournments of the meeting to solicit additional proxies. The Board recommends voting FOR all seven proposals.
Alzamend Neuro is asking stockholders at its April 17, 2026 virtual annual meeting to approve several key governance and capital actions. Proposals include electing seven directors, ratifying Haskell & White LLP as auditor, and a non-binding advisory vote on executive pay.
The company seeks approval of a 2025 Stock Incentive Plan authorizing equity-based awards, and separate approval for equity issuances to directors and executive officers under Nasdaq Listing Rule 5635(c). It is also requesting authority to implement a reverse stock split of common stock at a ratio between one-for-two and one-for-ten any time before April 16, 2027, and to adjourn the meeting if more time is needed to secure votes.