Carlsmed, Inc. filings document the regulatory record of a commercial-stage medical technology company developing AI-enabled personalized spine surgery solutions. Recent 8-K filings report results of operations and financial condition, including furnished earnings releases tied to the company’s aprevo® platform, product activity and revenue outlook.
The company’s SEC materials also cover emerging growth company status, annual meeting and proxy governance matters, and capital-structure disclosures. Material-event filings include amendments to loan and security arrangements, credit facility terms, warrant-related disclosures and other financing matters relevant to Carlsmed’s public-company reporting.
Carlsmed, Inc. (CARL) lists Officer Jeffrey Bertolini's proposed sale of 243 common shares, with an aggregate market value of $3,839.40. October 30, 2026, is listed as the approximate sale date. The shares are listed as acquired from the issuer that day through a stock option exercise, with cash payment. Earlier sales by Bertolini are listed from July 30 through October 5, 2026.
Carlsmed, Inc. (CARL) is named as issuer in a Rule 144 notice covering former officer Leonard M. Greenstein’s proposed sale of 4,136 common shares, with an aggregate market value of $57,872.15 and an approximate sale date of October 14, 2026. The shares were acquired from the issuer through restricted stock vesting on October 7, 2026, as compensation. The notice remarks state that the sale includes an amount necessary to cover a tax obligation resulting from settlement of a vested equity award distribution.
CARLSMED, INC. (CARL) Chief Operating Officer Jeffrey Bertolini exercised options covering 747 shares at $5.9150 per share on October 5, 2026, acquired 747 common shares, and sold 747 shares at $14.3900 per share that day. The sale was effected under a Rule 10b5-1 trading plan adopted March 12, 2026. The derivative transaction reports 21,655 option shares following the exercise, with an expiration date of April 9, 2035.
CARLSMED, Inc. (CARL) officer Jeffrey Bertolini reported a proposed sale of 747 common shares through Fidelity Brokerage Services LLC, with an aggregate market value of $10,749.33. The notice gives October 5, 2026 as the approximate sale date and identifies NASDAQ. It lists the shares as acquired from the issuer through a stock option exercise for cash on October 5, 2026, and includes prior sales dated July 7 through September 30, 2026. Daniel Tucci signed as Fidelity Brokerage Services LLC’s duly authorized representative and attorney-in-fact for Bertolini.
Carlsmed, Inc. Chief Operating Officer Jeffrey Bertolini exercised stock options covering 243 shares of common stock on September 30, 2026, at an exercise price of $2.2320 per share, then sold 243 shares at $13.9900 per share under a Rule 10b5-1 trading plan adopted March 12, 2026. The reported stock-option position following the exercise was 5,825 shares. The option terms state that 25% of the original number of shares subject to the option vested on September 30, 2025, and the remaining 75% will vest in 1/36th installments on a monthly basis thereafter, subject to continued service through each vesting date.
Carlsmed, Inc. (CARL) reports that Chief Legal Officer Jennifer Kamocsay directly held 56,222 common shares and stock options covering 90,000 common shares as of September 24, 2026. The options have a $13.45 exercise price and expire September 28, 2035. Twenty-five percent vested on September 29, 2025; the remaining 75% vest in quarterly 1/12 installments, subject to continued service.
Carlsmed, Inc. (CARL) reported that its CFO and Treasurer, Richard Heppenstall, received 89,286 restricted stock units and stock options covering 180,137 common shares on September 28, 2026. The options have a $14.18 exercise price and expire September 27, 2036. The RSUs vest in three equal annual installments beginning on the first anniversary of the grant date; options vest 25% on that anniversary and the remaining 75% in 1/12 installments quarterly thereafter. Both vesting schedules are subject to continued service through each vesting date.
Carlsmed, Inc. (CARL) reports a proposed sale by officer Jeffrey Bertolini of 243 common shares, with an aggregate market value of $3,399.57 and an approximate sale date of September 30, 2026. Fidelity Brokerage Services LLC is listed as the broker. The shares are listed as acquired from the issuer through a stock option exercise for cash. The notice also lists seven common-stock sales during the prior three months. Jennifer Ruchti signed as a duly authorized representative of Fidelity Brokerage Services LLC and attorney-in-fact for Jeffrey Bertolini.
Carlsmed, Inc. (CARL) appointed Richard Heppenstall Chief Financial Officer effective September 28, 2026, succeeding Leo Greenstein, whose departure took effect September 25. The company said Greenstein’s departure did not result from a disagreement over accounting, disclosure or internal controls. His separation terms include $500,000 in equal cash installments, a prorated 2026 performance-based incentive, COBRA premiums for up to 12 months and accelerated vesting of specified equity awards. He will provide advisory services through December 31, 2026, for $60,000, subject to proration if the agreement ends early.
Heppenstall’s initial annual salary is $500,000, with a target cash incentive of 60% of salary. He received stock options with a $1.4 million grant-date fair value and restricted stock units valued at $1.4 million; option vesting is subject to continued service. Relocation reimbursement is capped at $150,000 and requires establishing a residence at a mutually agreed location in Southern California within 12 months. Carlsmed reaffirmed fiscal 2026 revenue guidance of $74 million to $78 million, representing 50% growth over 2025 at the midpoint.