Welcome to our dedicated page for Strive SEC filings (Ticker: ASST), 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.
Strive, Inc. filings document the company’s structured finance and asset management business, bitcoin treasury operations, preferred stock structure, and public-company governance. Its 8-K reports disclose business updates such as bitcoin, cash, investment and capital stock balances, dividend actions for the Variable Rate Series A Perpetual Preferred Stock, and quarterly operating and financial results.
Strive’s SEC record also includes proxy materials for annual meeting matters, including auditor ratification, and disclosures identifying the company as a Nevada corporation and emerging growth company. Filing subjects include Class A and Class B common stock, SATA preferred stock, advisory activities through Strive Asset Management, LLC, forward-looking risk language, and material-event reporting tied to capital allocation and treasury strategy.
Strive, Inc. (ASST) approved corporate governance changes tied to its Agreement and Plan of Merger with Semler Scientific, Inc. The Board and a majority of stockholders, by written consent on October 8, 2025, approved amendments to the Amended and Restated Articles of Incorporation and Amended and Restated Bylaws to remove the maximum number of directors on the Board, effective December 31, 2025.
Prior to these amendments, the governing documents capped the Board at 11 directors. The company filed a Certificate of Amendment dated October 8, 2025, and a Certificate of Correction dated October 13, 2025. The amended bylaws become effective December 31, 2025. Full texts are included as Exhibits 3.1 and 3.2.
Strive, Inc. and Semler Scientific, Inc. entered into a two-step merger under which each Semler share will convert into 21.05 shares of Strive Class A common stock. Based on the closing price of Strive on September 19, 2025, that exchange ratio represented approximately $90.52 per Semler share. After the Mergers, existing Strive stockholders are expected to hold roughly 80.6% and Semler stockholders 19.4% of the combined company.
The transactions are subject to Semler stockholder approval, HSR clearance and other customary closing conditions and have an End Date of March 22, 2026. Semler's $100.0 million 4.25% convertible notes will remain outstanding with conversion terms adjusted by the Exchange Ratio. The Merger Agreement includes a $49.0 million termination fee payable by Semler in specified circumstances. Both boards unanimously approved the Merger Agreement and recommend approval.
Strive, Inc. filed a prospectus supplement to its effective shelf registration statement on Form S-3, registering the resale by selling securityholders of up to 1,283,904,392 shares of its Class A common stock. These shares may be sold by the selling securityholders, and the Company will not receive any proceeds from their sale.
The report also includes as exhibits a legal opinion from Brownstein Hyatt Farber Schreck, LLP on the validity of the shares, together with the firm’s related consent and the cover page interactive data file.
Strive, Inc. filed a prospectus supplement registering up to 1,283,904,392 shares of Class A common stock for potential resale by selling stockholders; the Company is not selling shares or receiving proceeds. The registerable shares arise from subscription agreements (May 26, 2025), exchange agreements (August 22, 2025) and a registration rights agreement (September 12, 2025). As of September 12, 2025, there were 364,825,582 Class A shares and 270,514,708 Class B shares outstanding. Class B shares carry 10 votes per share versus 1 vote per share for Class A, and certain significant holders control majority voting power as of September 30, 2025.
The prospectus describes demand and piggyback registration rights, underwriter lock-ups, and that the Company must file a Form S-3 shelf registration within 30 days of the Asset Entities Merger closing. The filing lists material risks tied to merger integrations, bitcoin treasury strategy execution, cybersecurity, regulatory change, transaction costs, dilution from issuances, and that management expects no cash dividends in the foreseeable future. The Class A stock trades on NASDAQ under ASST; last reported sale price on October 9, 2025 was $1.81 per share.
YA II and affiliated entities reported beneficial ownership of 38,576,603 shares of Class A common stock of Strive, Inc., representing 9.9% of the class. The total includes 17,250,000 outstanding Class A shares directly held plus 21,326,603 shares acquirable on exercise of warrants subject to a blocker that prevents exercise above 9.99%. The filing cites a base share count of 364,825,582 common shares outstanding as of September 12, 2025 and a conversion-limit adjusted total of 386,152,185 for calculating the percentage. The reporting persons are affiliated investment vehicles and principals within the Yorkville group; Mark Angelo is named as the individual who makes investment decisions. Signatures are dated October 7, 2025.
Strive, Inc. reported governance changes tied to a leadership transition. On October 5, 2025, Benjamin Werkman resigned from the Board of Directors and its Audit, Compensation, and Nominating and Corporate Governance Committees so he can join the company full time as Chief Investment Officer and serve as a board observer. The company states his resignation was not due to any disagreement over operations, policies, or practices.
To fill the resulting board committee vacancies, the Board appointed James Lavish to the Audit Committee, Mahesh Ramakrishnan to the Compensation Committee, and Jonathan Macey to the Nominating and Corporate Governance Committee, effective the same day. The Board also reduced its size to ten directors, aligning the board structure with the new composition.
Matthew Ryan Cole, the Chief Executive Officer and a director of Strive, Inc. (ASST), reported multiple transactions related to Restricted Stock Units and common stock on October 1, 2025 (with one item dated September 12, 2025). Time‑ and performance‑based Restricted Stock Units vested and were settled into 18,459,504 shares of Class B common stock on October 1, 2025. A portion of shares, 7,262,330, were withheld by the company to cover required tax withholding in connection with the settlement. The filing also shows a gift of 3,691,901 Class B shares to a charitable organization controlled by the reporting person and spouse; those shares were transferred without consideration and are no longer beneficially owned by them. The Form 4 notes a prior administrative correction (previously reported as 57,183 RSUs) and explains the conversion mechanics between Class B and Class A shares under the company charter.
Strive, Inc. (ASST) reported insider transactions by CFO and director Benjamin Pham. On 10/01/2025, 1,359,496 Restricted Stock Units settled into Class B Common Stock; 1,359,496 and 212,930 shares of Class B were converted into the same number of Class A shares pursuant to the company’s conversion terms. The filing also shows 534,153 shares withheld to cover tax obligations at $2.5 per share.
Footnotes state the reporting person did not voluntarily sell Class A or Class B shares in connection with these events. Vesting for restricted stock and RSUs follows a 25% first‑anniversary schedule with the remainder vesting quarterly, subject to continued employment.
Brian Logan Beirne, Chief Legal Officer and Director of Strive, Inc. (ASST), reported the settlement of time‑vested restricted stock units into common stock on October 1, 2025. The filing discloses the conversion/settlement of 87,903 RSUs that yielded 87,903 Class A shares and an additional 494,430 RSUs that yielded 494,430 Class A shares, resulting in a reported total of 582,333 Class A shares beneficially owned following the transactions. The filing also shows 228,393 shares of Class B common stock were withheld by the registrant to satisfy tax withholding obligations in connection with RSU settlement. The RSUs originally time‑vested on June 15, 2025, and were settled on the October date; the report states the reporter did not voluntarily sell any shares in these transactions.
Strive, Inc. reports preliminary capital and investment balances as of September 30, 2025. The Company held $108.6 million of cash and cash equivalents and 5,886 bitcoins, which were acquired at an average cost of $116,053 per bitcoin. Through that date, Strive sold 10,993,213 shares of Class A common stock under its at-the-market offering program at an average price of $5.3854 per share, adding to its liquidity.
Strive states it intends to strategically increase cash reserves for potential interest obligations while focusing on issuing a perpetual preferred equity security in 2025. The Company emphasizes that its third-quarter financial closing procedures are not complete and that the figures provided are preliminary, unaudited estimates that may change once full GAAP financial statements and reviews are finalized.