Welcome to our dedicated page for Avalo Therapeutics SEC filings (Ticker: AVTX), 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.
Avalo Therapeutics, Inc. filings document clinical, financial, capital-structure, and governance disclosures for a biotechnology issuer developing IL-1β-based therapies. Recent 8-K reports cover abdakibart LOTUS trial materials in hidradenitis suppurativa, operating and financial results, investor presentation updates, and material agreements related to milestone obligations from the AlmataBio acquisition.
The company's proxy materials describe shareholder voting matters, board composition, executive compensation, equity awards, and governance practices. Avalo's filing record also includes disclosure categories tied to common stock and pre-funded warrant financing, Nasdaq inducement awards, risk and operating updates, and formal reporting of material events affecting its clinical-stage business.
Avalo Therapeutics Chief Legal Officer Paul Varki reported a tax-related share disposition. On this Form 4, 1,081 shares of common stock were withheld at $13.10 per share to satisfy tax obligations, a non-market transaction classified as a tax-withholding disposition.
Following this event, Varki directly holds 32,576 shares of Avalo Therapeutics common stock. A footnote explains that this total includes 5,723 shares acquired through the company’s Employee Stock Purchase Plan as part of this reporting transaction.
Avalo Therapeutics Chief Financial Officer Christopher Ryan Sullivan reported a routine tax-related share disposition. On the reported date, 138 shares of common stock were withheld at $13.10 per share to satisfy tax obligations tied to equity compensation, rather than sold in the open market. A footnote explains that this event includes 588 shares acquired through the company’s Employee Stock Purchase Plan as part of the same reporting transaction. Following these movements, Sullivan directly holds 40,773 shares of Avalo Therapeutics common stock.
Avalo Therapeutics, Inc. Chief Medical Officer Mittie Doyle reported a small tax-related share disposition. On this Form 4, 1,084 shares of Common Stock were withheld at $13.10 per share to cover tax obligations, rather than sold on the open market. After this transaction, Doyle directly holds 51,776 shares of Avalo Therapeutics Common Stock, which includes 5,738 shares acquired through the company’s Employee Stock Purchase Plan as part of this reporting transaction.
Avalo Therapeutics entered into an exchange agreement with an accredited investor to swap 4,294.675 shares of its Series C preferred stock for 4,294.675 shares of newly created Series C-1 preferred stock. The new Series C-1 is economically similar but removes a restriction so the investor’s beneficial ownership cap can be increased from 4.99% to 9.99% of common stock, subject to a Beneficial Ownership Limitation. After the exchange, 4,085.379 Series C preferred shares remain outstanding.
The company designated the Series C-1 in its charter, with each Series C-1 share initially convertible into 1,000 common shares, featuring no voting rights, parity in dividends and liquidation, and broad-based weighted average anti-dilution protection. Avalo also amended employment agreements for its CEO, CFO, CMO and Chief Business Officer, enhancing severance and change-in-control protections, including up to 18 months of salary for the CEO on certain terminations, cash severance of 1.0x–1.5x salary plus 1.0x target bonus around a change in control, COBRA premium coverage, accelerated equity vesting, and a Section 280G cutback so payments stay just below excise-tax levels if that yields a higher after-tax amount.
Avalo Therapeutics, Inc. held its 2026 annual meeting on June 2, 2026. Stockholders elected seven directors to serve until the 2027 annual meeting. There were 26,714,337 shares outstanding as of the April 6, 2026 record date, with 22,672,284 shares, or about 85%, present or represented by proxy.
Stockholders approved the Second Amended and Restated 2016 Employee Stock Purchase Plan, which had been adopted by the board on April 2, 2026. They also ratified the appointment of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending December 31, 2026.
A schedule 13G/A amendment reports that FMR LLC (filed as an amendment) beneficially owns 3,188,401 shares of Avalo Therapeutics common stock, representing 6.1% of the class. The filing shows sole voting and sole dispositive power over those shares and lists Abigail P. Johnson in related cover responses.
Avalo Therapeutics director Kevin Robert Lind received a stock option grant covering 20,100 shares of Common Stock. The option has an exercise price of $13.96 per share and expires on June 2, 2036. It vests 100% on the first anniversary of the grant date, subject to his continued board service. Following this award, he holds 20,100 derivative securities directly.
Avalo Therapeutics director Samantha Truex received a new stock option grant, not an open-market share purchase. She was granted options to buy 20,100 shares of Avalo Therapeutics common stock at an exercise price of $13.96 per share. These options vest 100% on the first anniversary of the grant date, contingent on her continued board service, and expire on June 2, 2036. Following this award, she holds 20,100 stock options directly, with no sales or exercises reported in this filing.
Avalo Therapeutics, Inc. director Gilla Kaplan received a grant of stock options linked to the company’s common stock. The award covers 20,100 options with an exercise price of $13.96 per share and expires on June 2, 2036.
According to the terms, the option vests 100% on the first anniversary of the grant date, as long as the director continues to serve through that date. After this grant, Kaplan holds 20,100 stock options directly, giving equity-based, long-term incentive aligned with future company performance.
Avalo Therapeutics director Aaron Kantoff received a new stock option grant as part of his compensation. On the grant date, he was awarded options covering 20,100 shares of Avalo Therapeutics common stock at an exercise price of $13.96 per share. These options vest 100% on the first anniversary of the grant date, as long as he continues serving as a director on that date, and expire on June 2, 2036. After this grant, his total reported stock option holdings from this award are 20,100 options, with no open-market buying or selling involved.