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.
CASI Pharmaceuticals filings document the regulatory record of a foreign private issuer focused on CID-103, an anti-CD38 monoclonal antibody for organ transplant rejection and autoimmune diseases. Recent Form 6-K reports disclose clinical and regulatory matters, including the China Drug Registration Certificate for Thiotepa for Injection, along with material agreements incorporated by reference into Form F-3 registration statements.
The filing record also covers capital-structure events such as convertible-note issuances, governance and management changes, Nasdaq delisting proceedings, and the quotation of the company’s ordinary shares on OTCQB under CASIF. These disclosures address board composition, executive responsibilities, financing terms, listing status, and operating-focus changes for the biopharmaceutical business.
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.
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.