Welcome to our dedicated page for Solowin Holdings SEC filings (Ticker: AXG), 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.
Solowin Holdings' SEC filings document a Cayman Islands-incorporated foreign private issuer operating regulated fintech and securities-related businesses through consolidated subsidiaries. Its disclosures cover Hong Kong brokerage and wealth management operations, digital asset services, stablecoin infrastructure, tokenization activity, and subsidiaries including Solomon JFZ, AlloyX, and AX Coin.
Form 6-K reports provide interim financial statements, operating and financial review materials, preliminary unaudited results, press-release exhibits, and material-event disclosures. The filing record also includes securities purchase agreement disclosures, Class A ordinary share financing mechanics, registration-statement incorporation matters, shareholder voting topics, governance disclosures, and risk-related information tied to the company's financial technology and digital asset operations.
SOLOWIN HOLDINGS entered into a new pre-paid purchase financing, issuing Pre-Paid Purchase #2 to Streeterville Capital with a principal amount of $6,480,000, including a $480,000 original issue discount, for cash proceeds of $6,000,000 at an interest rate of 8% per annum.
The company may make monthly cash amortization payments of $900,000 through on or before September 1, 2026, or instead satisfy amounts by issuing Class A shares at a 15% discount to recent trading prices, subject to a 9.99% beneficial ownership cap. It will also issue 1,000,000 additional Class A shares at $0.0001 per share under a side letter.
Any remaining balance is due one year after funding, with a 10% balance increase per Trigger Event, up to three times, and default interest of up to 18% per annum. The proceeds are expected to be used for working capital and other corporate purposes.
Solowin Holdings is offering up to $6,480,000 of Class A Ordinary Shares and 1,000,000 Pre-Delivery Shares to Streeterville Capital pursuant to a February 9, 2026 Securities Purchase Agreement. The financing supports prepaid purchases with an aggregate commitment of up to $100,000,000, 8% annual accrual on advances, and resale of issued shares by the Investor.
The investor may require issuances in lieu of missed monthly amortization payments; purchase pricing is set at 85% of a low-of-market metric (closing price or 10-day VWAP). Beneficial ownership by the Investor is capped at 9.99%.
SOLOWIN HOLDINGS reports preliminary, unaudited results for the fiscal year ended March 31, 2026, expecting revenue between $27 million and $29 million, nearly ten times the prior year. This growth is driven by digital asset tokenization, stablecoin infrastructure, and AI-powered services.
The Company expects a net loss of $11 million to $13 million as it continues investing in technology, compliance, and global expansion. As of March 31, 2026, cash and cash equivalents were in the range of $14 million to $16 million. Its AXONE payments platform processed about $226 million in total payment volume and the FERION tokenization platform reached about $52 million in real-world assets tokenized.
SOLOWIN HOLDINGS, a regulated fintech company also known as AXG, reported that its venture arm, AlloyX Ventures Limited, has joined the latest funding round for Libeara Pte. Ltd., a regulated real-world asset tokenization platform.
The investment is intended to deepen ecosystem synergies and expand tokenization initiatives across Asia and globally, building on the firms’ previous collaboration on RYT, a tokenized money market fund developed on AXG’s AI-driven FERION platform. AlloyX’s CEO, Dr. Thomas Zhu, will serve as a Board Observer at Libeara to provide strategic support.
Libeara, incubated by Standard Chartered’s SC Ventures, focuses on compliance-first tokenization and has supported tokenization of more than US$1B in regulated assets, including a highly rated tokenized U.S. Treasury fund and Asia’s first tokenized retail money market fund.
Solowin Holdings, Ltd. filed an initial insider ownership report for its CFO, Liu Lili, showing a stock option position rather than a recent trade. The filing lists an option to purchase 60,000 Class A Ordinary Shares at an exercise price of $4.0000 per share.
The option was granted on December 17, 2025 under the Amended and Restated 2023 Equity Incentive Plan and vests in equal quarterly installments from March 1, 2026 through December 1, 2028. Any unexercised portion will expire on October 17, 2031, setting a long-term incentive horizon for the CFO.
Solowin Holdings director Yao Xue has filed an initial ownership report showing indirect control of 3,960,000 Class B Ordinary Shares of Solowin Holdings, Ltd. These shares are held through FORTUNE DYNASTY GLOBAL LIMITED, where he is the sole director and shareholder with sole voting and investment power.
Each Class B Ordinary Share is convertible on a one-for-one basis into a Class A Ordinary Share at the holder’s election, and may also convert automatically upon certain transfers or events described in the company’s governing documents. This filing records existing ownership rather than a new market transaction.
Solowin Holdings, Ltd. director, CEO and Chairman Lok Ling Ngai filed an initial statement of beneficial ownership. The filing shows indirect holdings of Class A and Class B ordinary shares through entities including Gemini Asia Holdings Limited, VAST SPACE LIMITED and WELL INSIGHT LIMITED. Each Class B Ordinary Share is convertible into one Class A Ordinary Share, and the reporting person disclaims beneficial ownership of shares held by WELL INSIGHT LIMITED except for any pecuniary interest.
Solowin Holdings, Ltd. director Wang (YW) Yang filed an initial ownership report on Form 3 for ticker AXG. The filing establishes Yang’s status as a director and subject to insider reporting rules but does not list any specific shareholdings or recent transactions.
Solowin Holdings, Ltd. director Tam Ho Kuen filed an initial ownership report on Form 3 for the company’s shares. This filing establishes his status as a reporting insider under SEC rules but does not list any share transactions or derivative positions in this report.
Solowin Holdings, Ltd. director Ho Wing Yan has filed an initial insider ownership report on Form 3 for the company, which trades under the symbol AXG. The filing does not report any insider transactions or derivative positions, and no specific share holdings are listed in the provided data.