BioAtla, Inc. filings document the regulatory record for a clinical-stage biotechnology company developing CAB antibody therapeutics for solid tumors. Recent Form 8-K disclosures cover financial results, investor presentation materials, cost-reduction actions, executive retention compensation, financing arrangements, license-related updates and risk-linked operating disclosures.
The filings also record capital-structure and governance matters, including shareholder votes on stock issuance and reverse split authority, Series A Junior Preferred Stock issuance and elimination, Nasdaq continued-listing proceedings, and a Delaware certificate of merger connected to a common-stock reclassification.
Sievers Eric reported acquisition or exercise transactions in this Form 4 filing.
BioAtla, Inc. reported that Chief Medical Officer Eric Sievers received a grant of 240,000 shares of Common Stock in the form of time-based restricted stock units (RSUs) at no purchase price.
The RSU vests as to 25% of the shares on March 10, 2027, then 6.25% on the last day of each May, August, November, and February, subject to his continued service through each vesting date. Following this award, Sievers directly holds 598,705 shares of Common Stock.
SHORT JAY M PHD reported acquisition or exercise transactions in this Form 4 filing.
BioAtla, Inc. CEO and director Jay M. Short received a grant of 430,000 shares of Common Stock in the form of a time-based restricted stock unit award. The award was granted at no cash cost and is structured to vest over several years.
According to the vesting schedule, 25% of the RSU is scheduled to vest on March 11, 2027, with an additional 6.25% vesting on the last day of each May, August, November and February thereafter, subject to his continued service. Following this grant, Dr. Short directly holds 2,659,603 shares of Common Stock.
The filing also lists indirect holdings in BioAtla shares held by his spouse, various 2020 irrevocable gift trusts, Capia IP, LLC and Himalaya Parent LLC. For Himalaya Parent LLC, he and his spouse act as managers and collectively make investment decisions, while each disclaims beneficial ownership except to the extent of any pecuniary interest.
Vasquez Christian reported acquisition or exercise transactions in this Form 4 filing.
BioAtla, Inc. Chief Financial Officer Christian Vasquez received a grant of 240,000 shares of Common Stock in the form of time-based restricted stock units. These units carry no purchase price and increase his direct holdings to 530,196 shares after the award.
The RSU grant vests over time: 25% of the shares vest on March 10, 2027, with an additional 6.25% vesting on the last day of each May, August, November, and February thereafter, as long as he remains in service through each vesting date.
BioAtla is issuing 931,032 shares of common stock to YA II PN, Ltd. under a Standby Equity Purchase Agreement dated November 20, 2025, at approximately $0.166 per share for total gross proceeds of approximately $154,000. The company expects to issue the shares on or about March 9, 2026.
The prospectus supplement also covers the resale of these shares by YA II PN, Ltd. to the public. Common stock outstanding after the issuance would be 81,170,430 shares.
BioAtla, Inc. reported that Chief Executive Officer Jay M. Short, Ph.D., had 7,728 shares of common stock withheld on February 28, 2026 at $0.247 per share. According to the filing, this was a tax-withholding disposition related to the vesting and net settlement of previously reported restricted stock units, and not an open-market sale.
After this withholding, Dr. Short directly holds 2,229,603 common shares. He also has indirect ownership positions through his spouse and various entities, including the Carolyn Short 2020 Irrevocable Gift Trust, the Jay Short 2020 Irrevocable Gift Trust, Capia IP, LLC, and Himalaya Parent LLC, where he and his spouse serve as managers and disclaim beneficial ownership beyond any pecuniary interest.
BioAtla, Inc. Chief Financial Officer Christian Vasquez reported a tax-related share disposition, not an open-market sale. On the reported date, 1,802 shares of common stock at a value of $0.247 per share were withheld by the company to cover income tax obligations tied to vesting restricted stock units. After this withholding event, Vasquez directly owned 290,196 shares of BioAtla common stock. This type of Form 4 transaction reflects routine equity compensation tax settlement rather than discretionary trading in the open market.
BioAtla, Inc. reported an insider equity transaction involving its Former Chief Financial Officer, Richard A. Waldron. On February 28, 2026, 2,729 shares of common stock at $0.247 per share were withheld by the company to satisfy income tax obligations tied to vesting restricted stock units. This tax-withholding disposition is not an open-market sale, and Waldron’s directly held stake stands at 343,421 common shares after the transaction.
BioAtla, Inc. reported an insider equity transaction for Chief Medical Officer Eric Sievers. On this Form 4, the company withheld 3,140 shares of common stock at $0.247 per share to satisfy income tax and withholding obligations related to the vesting of previously reported restricted stock units. This withholding is characterized as a tax-withholding disposition and is explicitly noted as not being a sale of shares by the reporting person. After this transaction, Sievers directly held 358,705 shares of BioAtla common stock.
BioAtla, Inc. has initiated a formal review of strategic options, including selling preclinical and clinical assets, licensing deals, partnerships or other corporate transactions, while undertaking a major restructuring with a workforce reduction of approximately 70% to lower operating expenses.
The company reported preliminary cash and cash equivalents of about $7.1 million as of December 31, 2025, has fully repaid the $7.5 million advanced under its pre-paid agreements, and may sell up to $15.0 million of common stock under a standby equity purchase agreement, subject to conditions. A planned $40 million SPV transaction is under renegotiation.
Nasdaq has called for review of a prior decision to suspend and delist the stock for bid-price and stockholders’ equity deficiencies; BioAtla’s shares continue trading during this process, whose outcome is uncertain. The company also announced the termination of its Chief Financial Officer, Richard Waldron, effective March 2, 2026, with severance and accelerated vesting of 37,875 restricted stock units, and the appointment of Chris Vasquez as the new Chief Financial Officer.
BioAtla, Inc. has called a virtual special meeting on March 4, 2026 to ask stockholders to approve a merger with its wholly owned subsidiary that will effectively implement a 1‑for‑50 share conversion of its common stock. Every fifty existing shares would become one new share, with cash paid instead of issuing fractional shares.
The company explains that this recapitalization is intended to lift its share price above $1.00 for at least ten consecutive trading days to help regain compliance with Nasdaq’s minimum bid price requirement and support continued or reinstated listing on The Nasdaq Capital Market. The transaction also amends and restates the charter so that future changes to Article IV (capital stock) require only the default Delaware majority standard rather than a supermajority vote. Directors and officers remain in place, and total authorized shares stay at 550 million, increasing the proportion of authorized but unissued shares available for future use.