Welcome to our dedicated page for Bioatla SEC filings (Ticker: BCAB), 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.
The BioAtla, Inc. (BCAB) SEC filings page on Stock Titan provides direct access to the company’s official U.S. Securities and Exchange Commission disclosures, along with AI-assisted context to help interpret them. As a clinical-stage biotechnology company focused on Conditionally Active Biologic (CAB) antibody therapeutics for solid tumors, BioAtla uses its filings to report on financing arrangements, governance matters, clinical program updates and Nasdaq listing status.
Among the core documents, investors can review Form 8-K current reports where BioAtla describes material events such as Pre-Paid Advance Agreements and a Standby Equity Purchase Agreement that provide equity-linked financing, including key terms like pricing formulas, exchange caps and ownership limits. Other 8-K filings incorporate press releases detailing quarterly financial results and clinical program progress, and discuss interactions with Nasdaq’s Listing Qualifications Staff and conditions for continued listing on The Nasdaq Capital Market.
The DEF 14A definitive proxy statement offers insight into corporate actions submitted to stockholders, including proposals to approve potential issuance of 20% or more of outstanding common stock under financing agreements, authorize a reverse stock split within a specified ratio range at the board’s discretion, and permit adjournments of a special meeting to solicit additional proxies. This proxy statement also explains the rationale for these proposals in the context of Nasdaq Listing Rule 5635(d) and the company’s capital needs.
Through Stock Titan, users can quickly locate BioAtla’s 10-K annual report and 10-Q quarterly reports (when filed) to understand risk factors, detailed financial statements, research and development spending, and discussion of clinical-stage assets such as ozuriftamab vedotin (Oz-V), mecbotamab vedotin (Mec-V), BA3182 and evalstotug. Form 4 insider transaction reports, when available, can be used to track share purchases or sales by directors and officers.
Stock Titan’s AI-powered tools summarize lengthy filings, highlight key sections related to financing, listing compliance, and clinical milestones, and surface relevant passages without requiring users to read every page. Real-time updates from EDGAR ensure that new BioAtla filings, including future 8-Ks, proxy materials or registration statements, appear promptly. This combination of primary documents and AI-generated explanations helps investors, analysts and researchers follow how BioAtla’s CAB platform, capital structure and governance are reflected in its SEC reporting.
BioAtla, Inc. has filed a new shelf registration statement on Form S-3 allowing it to offer and sell up to $200,000,000 of common stock, preferred stock, debt securities, warrants and units from time to time. The filing carries forward $195.95 million of unsold securities from a prior shelf under Rule 415(a)(6). A related prospectus supplement covers up to $18.75 million of common stock that may be issued to YA II PN, Ltd., Anson Investments Master Fund LP and Anson East Master Fund LP under Pre-Paid Advance Agreements and a Standby Equity Purchase Agreement, and also permits those investors to resell such shares. As of mid-January 2026, BioAtla’s public float was about $74.4 million, so sales under this shelf are limited by the one‑third cap in General Instruction I.B.6 of Form S‑3. The company’s stock trades on Nasdaq under the symbol “BCAB.”
BioAtla, Inc. reported that its board authorized the issuance of one share of Series A Junior Preferred Stock, called a Super-Voting Share, to Chairman and CEO Jay M. Short, Ph.D., for $0.01. This unregistered sale relied on the Section 4(a)(2) exemption for a private transaction with an accredited investor.
The company filed a Certificate of Designation creating the Super-Voting Share. This share votes together with common stock solely on reverse stock split–related proposals and any adjournments or related matters. It carries votes equal to the number of common shares outstanding on the record date, but must vote “for” the proposal only if at least two-thirds of the voting power of common stock present favors it, and “against” otherwise. The Super-Voting Share has no dividend rights, a $0.01 liquidation preference, can be redeemed by the board for $0.01, is generally non-transferable, and receives no merger consideration.
The filing explains that at a prior special meeting, stockholders approved a stock issuance proposal and an adjournment proposal, but the reverse stock split proposal (at a 1-for-5 to 1-for-20 range) did not receive the required two-thirds vote, so the meeting was adjourned. The special meeting will reconvene on January 26, 2026 with a new record date of January 12, 2026, and the Super-Voting Share is designed to help secure approval of the reverse stock split if the two-thirds support threshold among common shares present is reached.
BioAtla, Inc. is asking stockholders to approve three proposals at a virtual special meeting on December 30, 2025. The first would approve the potential issuance of 20% or more of the common stock outstanding as of November 20, 2025 under Pre-Paid Advance Agreements and a Standby Equity Purchase Agreement with Yorkville and Anson funds, allowing sales below Nasdaq’s minimum price beyond an Exchange Cap of 11,752,538 shares, which equals 19.99% of outstanding shares on that date. These arrangements include a $15.0 million equity purchase commitment and a $7.5 million pre-paid advance, partly already converted into 479,294 shares, plus a 243,428‑share commitment fee.
The second proposal would amend the charter to permit a reverse stock split of common stock at a ratio between 1‑for‑5 and 1‑for‑20 any time before June 30, 2026, at the board’s discretion. The goal is to raise the share price above Nasdaq’s $1.00 minimum bid and regain compliance after the stock traded below that level for more than 30 consecutive trading days, with a compliance deadline of February 2, 2026. The split would not change authorized share counts but would increase authorized, unissued shares and may affect liquidity, create odd lots, and potentially reduce market capitalization.
The third proposal would allow adjournment of the meeting for up to 30 days to solicit additional proxies if there are insufficient votes to pass the stock issuance or reverse stock split proposals. Failure to approve the stock issuance could force BioAtla to repay the pre-paid advances in cash, plus a 10% premium, which the company says could strain working capital and push it toward less favorable, potentially more dilutive financing alternatives.
BioAtla, Inc. (BCAB) is asking stockholders at a virtual special meeting to approve new financing flexibility and a reverse stock split to support its Nasdaq listing and capital needs.
Proposal One seeks approval under Nasdaq rules to issue 20% or more of the common stock outstanding as of November 20, 2025 under Pre-Paid Advance Agreements and a Standby Equity Purchase Agreement with Yorkville and Anson funds. These arrangements include a $15.0 million standby equity facility and a $7.5 million pre-paid advance, and are currently capped at 11,752,538 shares, or 19.99% of outstanding stock. Approval would allow issuances above this cap but could result in material dilution.
Proposal Two would authorize a reverse stock split of the common stock in a range of 1-for-5 to 1-for-20 any time before June 30, 2026, with the exact ratio set later by the board. The main goal is to raise the share price to regain and maintain compliance with Nasdaq’s $1.00 minimum bid requirement after the company fell below that level for more than 30 consecutive trading days. Authorized share counts and par value would not change, and fractional shares would be cashed out.
Proposal Three would permit adjournment of the meeting to solicit more proxies if there are not enough votes to pass the stock issuance or reverse split proposals. The board unanimously recommends voting “FOR” all three proposals.
BioAtla, Inc. is registering up to $22.5 million of common stock plus 243,428 shares of common stock in connection with new financing arrangements. The company has already received $7.5 million of pre-paid advances from three investors, to be repaid in stock at prices tied to the market but not below $0.23 per share, with interest at 4% annually, rising to 18% on default. A separate standby equity purchase agreement lets BioAtla sell up to $15 million of additional shares to Yorkville over 36 months at 97% of market price, subject to a 4.99% ownership cap. Yorkville also receives the 243,428 commitment shares as a 2.00% fee. These structures provide flexible access to capital but could significantly dilute existing shareholders as shares are issued.
BioAtla remains a clinical-stage oncology company, reporting $8.3 million in cash as of September 30 2025, a new $2 million milestone payment from Context Therapeutics, and recent FDA alignment on a planned Phase 3 ozuriftamab vedotin trial.
BioAtla, Inc. entered into two financing arrangements that together provide access to up to $22.5 million in capital. The company agreed to a $7.5 million Pre-Paid Advance with Yorkville and Anson funds, for which it will receive approximately $7.13 million in gross proceeds as the advance is purchased at 95% of face value. The advance bears 4% annual interest, includes a 10% payment premium, matures 12 months after closing, and can be repaid in cash or through share issuances priced off the stock’s VWAP, subject to a floor price and Nasdaq rules.
Separately, BioAtla entered into a Standby Equity Purchase Agreement with Yorkville allowing it to sell up to $15.0 million of common stock over 36 months at 97% of the lowest VWAP over a three-day period for each draw. Yorkville received a $300,000 commitment fee paid in 243,428 shares at $1.2324 per share. Both arrangements are subject to a 4.99% ownership cap per investor and an overall 19.99% Nasdaq exchange cap on shares issuable unless stockholders approve issuances above that level.
BioAtla (BCAB) reported Q3 2025 results, highlighting a continued operating loss and liquidity pressure. The company recorded a quarterly net loss of $15.8 million (net loss per share $0.27) and a year‑to‑date net loss of $49.8 million. There was no collaboration revenue in the quarter, versus $11.0 million a year ago.
Operating expenses fell as programs wound down: R&D was $9.5 million (down from $16.4 million) and G&A was $4.3 million (down from $5.9 million). Cash and cash equivalents were $8.3 million at September 30, 2025, down from $49.0 million at year‑end, and management concluded there is “substantial doubt” about the ability to continue as a going concern.
The balance sheet showed total liabilities of $47.1 million, including a $19.8 million licensor liability and a $4.3 million warrant liability, resulting in stockholders’ deficit of $(31.2) million. Shares outstanding were 58,792,088 as of November 10, 2025. A subsequent event notes receipt of a $2.0 million milestone under the Context license.
BioAtla, Inc. (BCAB) furnished an 8-K announcing its Q3 2025 results and a clinical program update. The company reported that a press release covering the quarter ended September 30, 2025 has been provided as Exhibit 99.1.
The information in Item 2.02, including Exhibit 99.1, is being furnished, not filed, and will not be incorporated by reference into other filings. BioAtla’s common stock trades on The Nasdaq Capital Market under the symbol BCAB.
BioAtla, Inc. reports that a Nasdaq Hearings Panel has granted its request for continued listing, subject to specific conditions and deadlines. The company must apply to transfer its shares to The Nasdaq Capital Market by September 26, 2025, demonstrate compliance with Nasdaq’s minimum stockholders’ equity requirement by December 31, 2025, and meet the minimum bid price requirement by February 2, 2026. BioAtla submitted its application to transfer on September 18, 2025 and believes it can regain compliance with both requirements, though it cautions there is no assurance this will occur. The company also highlights risks including factors that raise substantial doubt about its ability to continue as a going concern and its need for additional funding to continue developing its CAB technology platform and product candidates.
Jay M. Short, Chief Executive Officer, Director and reported 10% owner of BioAtla, Inc. (BCAB), filed a Form 4 disclosing a non-sale transaction on 08/31/2025. The filing shows 6,347 shares of Common Stock were withheld by the issuer at a price of $0.4555 to satisfy income tax and withholding obligations related to the vesting and net settlement of previously reported restricted stock units. After the withholding, the reporting person directly beneficially owned 2,243,678 shares. The Form 4 also reports indirect holdings: 793,547 shares held by spouse, two trusts with 258,727 shares each, 302,324 shares by Capia IP, LLC, and 50 shares by Himalaya Parent LLC, where the reporting person and spouse are managers. The filing was signed by an attorney-in-fact on 09/02/2025.