Welcome to our dedicated page for CASI Pharmaceuticals SEC filings (Ticker: CASIF), 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.
Our SEC filing database is enhanced with expert analysis from Rhea-AI, providing insights into the potential impact of each filing on CASI Pharmaceuticals's stock performance. Each filing includes a concise AI-generated summary, sentiment and impact scores, and end-of-day stock performance data showing the actual market reaction. Navigate easily through different filing types including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, proxy statements (DEF 14A), and Form 4 insider trading disclosures.
Designed for fundamental investors and regulatory compliance professionals, our page simplifies access to critical SEC filings. By combining real-time SEC filing updates, Rhea-AI's analytical insights, and historical stock performance data, we provide comprehensive visibility into CASI Pharmaceuticals's regulatory disclosures and financial reporting.
CASI Pharmaceuticals’ major holder Wei-Wu He filed Amendment No. 14 to update his beneficial ownership to 18,985,535 ordinary shares, or 53.0% of the class. This percentage is based on 20,555,873 ordinary shares outstanding as of March 20, 2026.
The amendment reflects that ETP Global III Fund L.P., an affiliated fund, purchased a new US$5 million convertible note on February 19, 2026 as the third tranche of a US$20 million convertible note financing. The note may be converted into ordinary shares from the 91st day after issuance until maturity at a price equal to the five-day volume-weighted average closing price, but not above US$2 or below US$1 per share. For reporting purposes, the filing assumes a US$1 conversion price, given an average share price of US$0.15 over the last five trading days, and includes shares that can be acquired within 60 days.
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.