Welcome to our dedicated page for Atossa Therapeutics SEC filings (Ticker: ATOS), 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.
Atossa Therapeutics Inc (ATOS) files SEC disclosures that document its clinical development progress, financial position, and material corporate events as a clinical-stage biopharmaceutical company. Unlike revenue-generating companies where financial metrics dominate, Atossa's filings reveal information investors need to assess clinical progress, regulatory strategy, intellectual property development, and capital requirements—the fundamental value drivers for pre-commercial biotech companies.
The company's 10-K annual reports and 10-Q quarterly filings provide detailed breakdowns of clinical trial status, patient enrollment figures, expected data readout timelines, and regulatory feedback received. These filings disclose the company's cash position and burn rate, allowing investors to calculate runway and assess the likelihood of future capital raises. For Atossa specifically, quarterly reports detail expenditures on the endoxifen program versus the intraductal microcatheter platform, revealing management's resource allocation priorities. The risk factors section in these filings outlines potential obstacles to clinical success, regulatory approval challenges, and competitive dynamics within the breast cancer therapeutics market.
Form 8-K filings announce material events as they occur, including clinical trial results, FDA communications, partnership agreements, and significant corporate transactions. For a clinical-stage biotech like Atossa Therapeutics, 8-K filings often contain the most market-moving information: positive or negative clinical data, regulatory designations such as Fast Track or Breakthrough Therapy status, or announcements of research collaborations that validate the company's technology platforms. These real-time disclosures provide earlier visibility into company developments than waiting for quarterly reports.
Form 4 insider transaction reports reveal when executives and directors buy or sell shares, offering insight into management's confidence in the company's prospects. Insider buying can signal that leadership believes the stock is undervalued relative to internal expectations about clinical progress, while selling patterns might reflect routine diversification or preplanned trading programs. For small biotech companies, insider ownership levels and transaction patterns often factor into investor decision-making.
DEF 14A proxy statements disclose executive compensation structures, board composition, and shareholder proposals. These filings reveal how Atossa Therapeutics aligns management incentives with clinical milestones versus financial metrics, and show the expertise and backgrounds of board members guiding strategic decisions. For companies dependent on successful clinical execution, the qualifications and track records of leadership matter substantially.
Our platform provides AI-powered summaries that extract key information from these technical documents. Rather than manually searching through extensive clinical trial protocols or complex accounting disclosures, you can quickly identify material changes in trial design, understand the implications of regulatory feedback, or assess whether cash reserves support planned development timelines. This saves hours of document analysis while ensuring you don't miss critical details embedded in footnotes or supplementary sections.
Atossa Therapeutics (ATOS) reported Q3 2025 results showing a net loss of
For the nine months, net loss was
As of
Atossa Therapeutics (ATOS) reported an insider equity award on Form 4. The company’s Chief Financial Officer received a stock option grant to purchase 578,000 shares at an exercise price of $1.03 per share, with a transaction date of October 14, 2025.
The options vest as follows: 25% on October 14, 2026, with the remaining 75% vesting in equal quarterly installments over the following three years, subject to continued service. The options expire on October 14, 2035. Ownership is listed as Direct.
Atossa Therapeutics (ATOS) filed a Form 3 initial statement of beneficial ownership for its Chief Financial Officer, Mark James Daniel, with a date of event of 10/14/2025. The filing states that no securities are beneficially owned. The submission includes an Exhibit 24 Power of Attorney and is filed by one reporting person.
Atossa Therapeutics (ATOS) appointed Mark Daniel as Chief Financial Officer and principal accounting officer, effective October 14, 2025, succeeding Heather Rees. Ms. Rees will remain as a non-officer employee through November 15, 2025 to assist the transition and will receive nine months of base salary and nine months of employer-paid COBRA under a separation agreement.
Mr. Daniel’s employment agreement includes a base salary of $415,900 and a target annual bonus of up to 40% of base salary beginning in fiscal 2026. He will receive an option to purchase 578,000 shares with an exercise price set at the grant-date close, vesting 25% on the first anniversary and the remainder in equal quarterly installments over three years. If terminated without Cause or for Good Reason (outside a change in control window), he is eligible for six months’ salary (50% of base) and up to six months of COBRA. Upon qualifying termination in connection with a change in control, benefits include a lump sum equal to 1.0x base salary plus target bonus, pro rata bonus, full equity acceleration, and up to twelve months of COBRA.
Atossa Therapeutics, Inc. notified Nasdaq that it was not in compliance with the minimum bid price requirement of $1.00 per share under Nasdaq Listing Rule 5550(a)(2) because its common stock failed to maintain a minimum closing bid of $1.00 for 30 consecutive business days. The company's initial compliance period ended on August 20, 2025, and after requesting an extension, Nasdaq granted a 180-day extension on August 21, 2025, moving the deadline to regain compliance to February 17, 2026.
Atossa Therapeutics reported widening losses as it advances clinical programs for its lead candidate, oral (Z)-endoxifen. For the six months ended June 30, 2025 the company recorded a $15.1 million net loss and used $13.2 million of cash in operations, compared with $11.9 million and $9.2 million a year earlier. Cash and cash equivalents totaled $57.9 million at June 30, 2025, with working capital of $55.7 million, and management expects this cash to fund operations for at least one year. Total operating expenses rose to $16.5 million for the six-month period driven by higher R&D spending on (Z)-endoxifen trials.
The company highlighted positive clinical signals: low-dose (Z)-endoxifen reduced mammographic breast density (1 mg: 17.3%, 2 mg: 23.5%, both p<0.01) and neoadjuvant and I-SPY 2 data showed tumor suppression and tolerability. Material items to monitor include pending PTAB proceedings challenging two patents (petitions filed by Intas), a non-cancellable clinical commitment of $7.9 million, and a Nasdaq notice requiring the company to regain a $1.00 bid compliance by August 20, 2025.
Atossa Therapeutics, Inc. reported on August 12, 2025 that it issued a press release announcing financial results for the quarter ended June 30, 2025 and providing a company update. The press release is attached as Exhibit 99.1 and the filing includes a cover page Interactive Data File as Exhibit 104. The Company states the information in Items 2.02 and 9.01, including Exhibit 99.1, shall not be deemed to be "filed" for purposes of Section 18 of the Exchange Act or subject to certain Securities Act liabilities. This Current Report is signed by Heather Rees, Chief Financial Officer. No numerical financial metrics are included in the 8-K text provided here; consult Exhibit 99.1 for the detailed results and commentary.
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