Welcome to our dedicated page for Casi Pharmaceuticals SEC filings (Ticker: CASI), 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 CASI Pharmaceuticals, Inc. (NASDAQ: CASI) SEC filings page on Stock Titan brings together the company’s regulatory disclosures as a foreign private issuer, including its Form 6-K current reports and other Exchange Act filings. CASI files on Form 20-F and supplements those annual reports with multiple Form 6-K submissions that incorporate press releases and transaction updates by reference into its registration statements on Form F-3.
Through these filings, CASI provides details on its status as a clinical-stage biopharmaceutical company focused on developing CID-103, an anti-CD38 monoclonal antibody for organ transplant rejection and autoimmune diseases. Investors can use the filings to track information on CID-103 clinical programs in immune thrombocytopenia (ITP) and renal allograft antibody-mediated rejection (AMR), including FDA IND clearances, Chinese CTA approvals, and descriptions of Phase 1 and Phase 1/2 study designs.
CASI’s Form 6-K reports also disclose capital structure and financing transactions, such as the US$20 million convertible note purchase agreement with ETP Global III Fund LP and the closing of individual note tranches, along with key terms like maturity, interest rate, and conversion price ranges. Financial statements furnished in quarterly updates outline revenues, costs, operating expenses, net loss, and balance sheet data, providing context on the company’s recurring operating losses and going concern disclosures.
In addition, the filings describe Nasdaq listing compliance issues, including notices of non-compliance with the market value of listed securities requirement, a delisting determination, CASI’s appeal, and an extension granted by a Nasdaq Hearings Panel to regain compliance. Other 6-Ks address regulatory developments in China, such as the expiration of the Import Drug Registration License for FOLOTYN and the resulting cessation of FOLOTYN sales in that market.
On Stock Titan, CASI’s SEC filings are updated from EDGAR and can be paired with AI-powered summaries that highlight the main points of each document, helping users quickly understand clinical, financial, and listing-related disclosures without reading every line of the underlying forms.
CASI Pharmaceuticals director and over-10% holder Dr. Wei-Wu He has filed a Form 3 reporting his existing stakes in the company. He reports direct ownership of 1,910,550 Ordinary Shares and several option awards to buy additional Ordinary Shares at an exercise price of $1.93 with expirations between 2031 and 2033.
He also reports multiple indirect holdings of Ordinary Shares through entities such as Emerging Technology Partners, ETP funds, HE Family GRAT and the Huiying Memorial Foundation, and specifically disclaims beneficial ownership of shares held by the Foundation.
CASI Pharmaceuticals director James Huang filed a Form 3 reporting his initial ownership position. The filing lists three fully vested stock option awards over CASI ordinary shares: options over 10,000 shares at an exercise price of $1.69 expiring on October 1, 2035, 10,000 shares at $2.69 expiring on May 1, 2033, and 101,571 shares at $1.93 expiring on March 20, 2026. It also reports indirect ownership of 4,529,956 ordinary shares held by Panacea Venture Healthcare Fund II, L.P., an entity associated with Huang. He may be deemed to share beneficial ownership of these shares but explicitly disclaims such beneficial ownership.
CASI Pharmaceuticals, Inc. reported a leadership change, announcing that Chief Executive Officer and director David Cory has resigned from both roles, effective March 31, 2026. The company describes itself as a clinical-stage biopharmaceutical firm developing CID-103, an anti-CD38 monoclonal antibody for organ transplant rejection and autoimmune diseases.
Executive chairman Dr. Wei-Wu He will assume the role of the company’s principal executive officer, concentrating senior leadership responsibilities. The report also reiterates that statements about strategy and plans are forward-looking and subject to risks described in the company’s SEC filings.
CASI Pharmaceuticals reports that a Nasdaq Hearings Panel has decided to delist its securities because the company failed to meet continued listing conditions. Trading on Nasdaq will be suspended at the open on February 26, 2026, after which the securities will be delisted following completion of the applicable process.
The company does not plan to seek further review of the decision. CASI expects its ordinary shares to be quoted on an over-the-counter market operated by OTC Markets Group, although there is no guarantee that brokers will continue to make a market or that OTC trading will continue. CASI states that the Nasdaq delisting will have no significant impact on its operations, and it continues developing its lead antibody candidate CID-103 in multiple clinical programs.
CASI Pharmaceuticals reported closing the third tranche of its previously announced US$20 million convertible note financing with ETP Global III Fund LP, controlled by Dr. Wei-Wu He. In this tranche, CASI issued a US$5 million convertible note maturing in 36 months and bearing 12% annual interest.
At maturity, CASI may choose to convert the note into ordinary shares at the volume weighted average closing price over the five trading days before maturity. The purchaser can also convert from the 91st day after issuance until maturity, using a similar five-day volume weighted average, with the conversion price capped at US$2 and floored at US$1 per share.
CASI Pharmaceuticals reported a leadership change and plans to tighten its U.S. footprint as it confronts commercial and listing compliance challenges. The board appointed Dr. Wei-Wu He as executive chairman effective February 17, 2026, while James Huang stepped down as non-executive chairman but remains on the board.
The board also approved measures to streamline the company’s U.S. branches, personnel, and related activities so more resources can be directed toward its core operations, including development of CID-103, an anti-CD38 antibody for organ transplant rejection and autoimmune diseases.
CASI Pharmaceuticals received an updated ownership report from a Venrock-affiliated investor group. The group, including Venrock Healthcare Capital Partners funds and two individuals, reports beneficial ownership of 1,987,259 ordinary shares of CASI, representing 9.2% of the class as of December 31, 2025.
The stake includes ordinary shares and pre-funded warrants held across several Venrock vehicles, with the warrants exercisable for additional ordinary shares. All reporting persons list shared voting and dispositive power over the 1,987,259 shares and no sole power. The ownership percentage is calculated using 20,548,273 ordinary shares outstanding as of September 30, 2025 plus 1,000,000 ordinary shares issuable upon exercise of the pre-funded warrants.
The group certifies that the securities were not acquired and are not held for the purpose of changing or influencing control of CASI, but rather as a passive investment under Schedule 13G/A.
CASI Pharmaceuticals’ large shareholder group reports owning no shares. Foresite Capital Fund VI LP, Foresite Capital Management VI LLC and James Tananbaum each report beneficial ownership of 0 ordinary shares of CASI Pharmaceuticals, representing 0 % of the class as of 12/31/2025.
Each reporting person discloses no sole or shared voting or dispositive power over CASI ordinary shares. They also certify that the securities referenced were not acquired or held to change or influence control of CASI Pharmaceuticals.
CASI Pharmaceuticals reported that its subsidiary, CASI Pharmaceuticals (China) Co., Ltd., received a Drug Registration Certificate from China’s National Medical Products Administration for Thiotepa for Injection. The certificate is valid until February 1, 2031, allowing commercial use of this product in mainland China.
CASI holds exclusive distribution rights for Thiotepa in China under an agreement with ESTEVE Pharmaceuticals GmbH. The company also references earlier disclosures about a contemplated sale of Thiotepa-related licensing, distribution, supply and related rights in mainland China, along with certain other pipeline products, to Kaixin Pharmaceuticals Inc..
CASI Pharmaceuticals' major shareholder group updates its ownership report, showing that Wei‑Wu He, Ph.D. and affiliated entities beneficially own 13,965,535 ordinary shares, or 45.4% of the company. This figure includes options and shares issuable from two convertible notes.
ETP Global Fund III L.P. purchased a new US$5 million convertible note on January 9, 2026 as the second tranche of a US$20 million financing. The note can be converted into ordinary shares starting on the 91st day after issuance at a price based on the 5‑day volume‑weighted average, capped at US$2 and floored at US$1 per share. Ownership percentages are based on 20,555,873 ordinary shares outstanding as of February 6, 2026.