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.
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.
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.
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.
Christian Vasquez, an officer at BioAtla, Inc. (BCAB) who serves as Chief Accounting Officer, Corporate Controller and Secretary, reported a transaction dated 08/31/2025 in which 1,566 shares of common stock were withheld by the issuer at a price of $0.4555 per share to satisfy income tax and withholding obligations related to the vesting and net settlement of previously reported restricted stock units. The filing shows 283,564 shares beneficially owned following the transaction and is signed by Mr. Vasquez on 09/02/2025. The filer explains this is not a sale but a withholding to cover taxes on vested RSUs.
Eric Sievers, Chief Medical Officer of BioAtla, Inc. (BCAB), reported a withholding transaction tied to vested restricted stock units. On 08/31/2025, 2,729 shares were withheld at an effective price of $0.4555 to satisfy income tax and withholding obligations related to prior RSU vesting. After the withholding, the filing shows 364,574 shares beneficially owned by Sievers. The Form 4 was signed by an attorney-in-fact on 09/02/2025. The filing explicitly states this was a net settlement withholding, not an open-market sale.
Richard A. Waldron, Chief Financial Officer of BioAtla, Inc. (BCAB), reported a transaction dated 08/31/2025 in which 2,371 shares of common stock were disposed of under code F(1) at a price of $0.4555 per share. The filing states these shares were withheld by the issuer to satisfy income tax withholding and remittance obligations related to the vesting and net settlement of previously reported restricted stock units. Following the withholding, the reporting person beneficially owns 338,521 shares (direct ownership). The Form 4 was filed by one reporting person and signed by an attorney-in-fact on 09/02/2025.