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’ major shareholder group led by Wei‑Wu He, Ph.D. has updated its ownership and financing position. The group now reports beneficial ownership of 8,965,535 ordinary shares, or 34.8% of CASI’s 20,555,873 shares outstanding as of January 28, 2026.
ETP Global Fund III L.P., controlled by Dr. He, purchased a US$5 million convertible note as the first tranche of a planned US$20 million note financing. The note can be converted into ordinary shares from the 91st day after issuance at a price based on recent trading, capped at US$2 and floored at US$1 per share. The total reported holdings include options and shares the group has the right to acquire within 60 days, plus shares held by a family foundation, which Dr. He disclaims as beneficially owned.
CASI Pharmaceuticals, Inc. reported that China’s National Medical Products Administration formally rejected its renewal application for the Import Drug Registration License for FOLOTYN® in China. The company had already stopped selling FOLOTYN in China after the prior license expired, in line with applicable regulations, so sales had ceased before this formal rejection.
CASI describes itself as a clinical-stage biopharmaceutical company focused on developing CID-103 for patients with organ transplant rejection and autoimmune diseases. The company also notes that it is involved in disputes and legal proceedings related to certain pipeline products, including EVOMELA® and CNCT-19, and directs readers to earlier SEC filings for more details.
CASI Pharmaceuticals’ major shareholders updated their ownership disclosure in this Amendment No. 7 to Schedule 13D. The IDG-Accel affiliated funds and related reporting persons collectively report beneficial ownership of 915,850 CASI ordinary shares, representing 4.5% of the 20,548,273 ordinary shares outstanding as of September 30, 2025. Individual reporting person Quan Zhou reports beneficial ownership of 992,638 ordinary shares, or 4.8%, including 76,788 shares issuable upon option exercise. The amendment states that each reporting person ceased to be the beneficial owner of more than five percent of CASI’s ordinary shares on September 30, 2025, primarily due to an increase in the company’s total shares outstanding. The filers also note they have not engaged in transactions in CASI securities during the past sixty days and include detailed allocations of sole and shared voting and dispositive powers among the IDG-Accel entities and the two individuals.
CASI Pharmaceuticals’ investor group updates its ownership disclosure. A group of entities and individuals led through British Virgin Islands company Sparkle Byte Limited filed Amendment No. 5 to a Schedule 13D for CASI Pharmaceuticals, Inc. to update their beneficial ownership percentage. Sparkle Byte holds 1,019,852 ordinary shares, representing 5% of CASI’s ordinary shares based on 20,548,273 shares outstanding as of September 30, 2025.
The filing explains a layered ownership structure involving Snow Moon Limited, several Chinese investment partnerships and companies, and four individual investors who may be deemed to have sole or shared voting and dispositive power over the same 1,019,852 shares. The group states that the change in percentage results from an increase in CASI’s total shares outstanding, not from recent share transactions, and notes that each reporting person ceased to be a beneficial owner of more than five percent of CASI’s ordinary shares on September 30, 2025.
CASI Pharmaceuticals reported closing the second tranche of its US$20 million convertible note financing, issuing a new US$5 million note to ETP Global III Fund LP, a partnership controlled by Dr. Wei-Wu He.
The note matures in 36 months and carries a 12% annual interest rate. At maturity, CASI may choose to convert the principal into ordinary shares at the volume weighted average closing price over the five trading days before maturity, within a conversion price band of US$1 to US$2 per share. The purchaser can also convert at any time from the 91st day after issuance until maturity, using the five-day volume weighted average closing price before its conversion notice, subject to the same US$1 to US$2 per share range.
CASI Pharmaceuticals’ major shareholder Wei-Wu He, Ph.D. and affiliated entities have updated their Schedule 13D to reflect a go-private proposal. The reporting persons collectively beneficially own 3,965,535 ordinary shares, or 19.1% of CASI’s ordinary shares, based on 20,555,873 shares outstanding as of January 8, 2026.
Dr. He submitted an updated preliminary non-binding proposal on January 9, 2026 to acquire, through an acquisition vehicle, all 16,810,338 ordinary shares not held by the reporting persons plus 1,000,000 ordinary shares underlying pre-funded warrants (the “Publicly Held Shares”) for US$1.15 per share in cash, totaling approximately US$20.5 million. The price represents a 30% premium to the average closing price over the last 30 trading days. If completed, CASI’s ordinary shares would be delisted from Nasdaq and registration could be terminated under Section 12(g)(4). The proposal would be financed with a combination of debt and equity, with existing reporting shareholders rolling over their equity.
CASI Pharmaceuticals, Inc. reported closing the first tranche of a planned
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, subject to a maximum conversion price of
Panacea investment group disclosed a near-20% stake in CASI Pharmaceuticals and a board appointment. Panacea Venture Healthcare Fund II, L.P. holds 3,550,000 Ordinary Shares (purchased for approximately $6.7 million) and James Huang holds options to buy 111,571 Ordinary Shares, giving the Reporting Persons a combined beneficial interest of 3,661,571 Ordinary Shares, or 19.9% of 18,292,612 shares outstanding. The filing notes Panacea bought 1,500,000 shares from the issuer at $1.5350 per share. The Issuer announced James Huang will join CASI's Board effective October 1, 2025. The Reporting Persons state the position is for investment and reserve the right to buy, sell or pursue corporate actions after review.
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