Welcome to our dedicated page for Focus Unvl SEC filings (Ticker: FCUV), 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 Focus Universal Inc. (FCUV) SEC filings page brings together the company’s public regulatory disclosures filed with the U.S. Securities and Exchange Commission. As a Nevada corporation with common stock listed on the Nasdaq Capital Market, Focus Universal reports material events, securities offerings, and shareholder decisions through Forms 8-K, registration statements such as Form S-1 and Form S-3, and other required filings.
For FCUV, Form 8-K current reports provide insight into key developments, including notices from Nasdaq regarding listing standards, adoption of a 1-for-10 reverse stock split, transfers between Nasdaq markets, at-the-market offering agreements, and private placements of Series A and Series B preferred stock. These filings also describe certificates of designation for preferred stock, amendments to those designations, and shareholder meeting results covering director elections, auditor ratification, and changes to authorized share capital.
Registration statements such as the Form S-1/A amendments filed in December 2025 detail the registration of common shares issuable upon conversion of Series B preferred stock, including the structure of the private placement, conversion mechanics, and resale by selling stockholders. Shelf registration on Form S-3 underpins at-the-market offerings and other capital-raising activities described in FCUV’s filings.
On Stock Titan, these documents are updated in near real time from EDGAR and paired with AI-powered summaries that highlight the main points of each filing in plain language. Users can quickly see how new 8-Ks affect listing status, capital structure, or preferred stock terms, and how S-1 or S-3 filings relate to financing plans. The filings page also provides access to disclosures relevant to insider and large shareholder activity when reported, allowing investors to track how Focus Universal structures its equity, responds to Nasdaq compliance matters, and documents material events over time.
Focus Universal Inc. reports steps it believes have brought the company back into compliance with Nasdaq listing standards by boosting stockholders’ equity. After previously receiving notice that its market value of listed securities had fallen below the
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Focus Universal Inc. is registering up to 10,558,975 shares of common stock for resale by investors holding Series B preferred stock issued in three private placement closings of $3,000,000, $1,000,000 and $3,000,000. The company will not receive any proceeds from these resale transactions.
Shares of common stock outstanding were 8,211,705 as of November 17, 2025 and could rise to up to 18,770,680 after full conversion of the preferred shares, meaning a much larger pool of stock may be available for trading. FCUV stock trades on the Nasdaq Capital Market, and the closing price on December 15, 2025 was $3.65 per share.
The company develops internet of things platforms, smart home and horticultural products, and an SEC reporting automation tool, but reports substantial losses and cash burn. As of September 30, 2025 it had an accumulated deficit of $29,705,709, a net loss of $3,923,401 and negative operating cash flow of $3,709,104 for the nine months then ended, and it discloses substantial doubt about its ability to continue as a going concern, along with significant funding, manufacturing, cybersecurity, internal control and Nasdaq listing risks.
Focus Universal Inc. has filed a pre-effective amended prospectus to register the resale of up to 10,558,975 shares of common stock issuable upon conversion of Series B preferred stock sold in a private placement. The company will not receive proceeds from these resales; selling stockholders may dispose of shares over time at market or negotiated prices.
The company had 8,211,705 common shares outstanding prior to this offering and states that, if all Series B preferred is converted, up to 18,770,680 shares could be outstanding. Focus Universal develops IoT platform technologies and smart home products but reports substantial net losses and negative operating cash flow, with an accumulated deficit of
Focus Universal Inc. reported that all holders of its Series B Convertible Preferred Stock approved an amendment to the series’ certificate of designation. The company then filed this amendment in Nevada. The change rewrites how the conversion price and floor price of the Series B Preferred Stock are adjusted if the common stock is split, combined in a reverse split, or otherwise restructured.
The new language requires the conversion and floor prices to be recalculated as if any stock subdivision or reverse split had occurred before the volume-weighted pricing dates, helping keep the economic terms consistent through such corporate actions. The amendment also adds voluntary redemption rights, allowing holders of Series B Preferred Stock to choose redemption under the conditions described in the amended designation.
Focus Universal Inc. reported that all outstanding shares of its Series A Preferred Stock have been converted into Common Stock. The company previously sold 750,000 shares of Series A Preferred Stock in a private placement for an aggregate purchase price of
Focus Universal Inc. (FCUV) director and 10% owner Edward Lee reported significant equity changes. On 01/13/2025, an entity he controls, the Lee-Gu Private Foundation, disposed of 360,000 shares of common stock at $5.95 per share, leaving it with 364,000 shares held indirectly. On 11/17/2025, Lee acquired 550,000 shares of common stock at $3.63 per share, bringing his directly held common stock to 1,031,830 shares after this transaction.
The filing also shows activity in Series A Convertible Preferred Stock. On 10/20/2025, Lee purchased 500,000 Series A preferred shares at a conversion price of $3.63, which were linked to 550,000 underlying common shares at $4. On 11/17/2025, those 500,000 preferred shares were reported as disposed of, with no remaining preferred position shown.
Focus Universal Inc. (FCUV) filed its Q3 2025 10‑Q, showing lower sales and continued losses alongside post‑quarter financings. Revenue was $28,689 for the quarter versus $74,215 a year ago, and $254,274 for the nine months versus $264,954. Q3 net loss was $1,166,375; nine‑month net loss was $3,923,401. Gross profit for the nine months was $16,520 against operating expenses of $4,011,183.
Liquidity tightened: cash was $410,884 at September 30, 2025, down from $3,589,318 at year‑end, with operating cash outflow of $3,709,104 year‑to‑date. Total assets were $880,445 and stockholders’ equity was $174,807. The company disclosed substantial doubt about its ability to continue as a going concern.
Subsequent events: the company raised $6,000,000 via preferred stock in October 2025 and received an initial $3,000,000 under a Series B commitment. It also approved actions to increase authorized shares to 1,000,000,000 common and 100,000,000 preferred, permit up to $250 million in non‑public offerings within stated conditions, and allow a potential reverse split up to 200‑to‑1. Customer concentration remained high, with Customer A representing 99% of Q3 revenue.
Focus Universal (FCUV) announced the closing of $10,000,000 in preferred equity. The company completed a private placement of 750,000 shares of Series A Convertible Preferred Stock for $3,000,000 at $4.00 per share, led by Chairman Edward Lee. Each Series A share is convertible into 1.1 shares of restricted common stock, carries voting rights on an as‑converted basis, ranks senior to common in liquidation, and has no redemption rights.
The company also entered into a private placement of up to $7,000,000 (or 8,236 shares) of Series B Convertible Preferred Stock at $850.00 per share, reflecting a 15% original issuance discount. Funding is staged: $3,000,000 at closing; $1,000,000 upon filing an S‑1 and an information statement; and $3,000,000 within two business days after SEC effectiveness and Rule 14c‑2 effectiveness. Series B has no voting rights, ranks senior to common, includes conversion price protection, a 4.99% beneficial ownership cap, and six‑month participation rights up to 30% of subsequent financings. Executives and 5% holders agreed to a lock‑up through December 29, 2025.
Focus Universal Inc. (FCUV) announced stockholder approvals by written consent to expand capital flexibility, authorize potential financings, and permit a reverse split. The company will amend and restate its articles to authorize 1,000,000,000 shares of common stock and 100,000,000 shares of preferred stock, effective upon filing after the 20‑day notice period. Stockholders also approved the potential issuance of up to $250 million (or up to 250 million shares) of securities in one or more non‑public offerings, at up to a 30% discount, within 90 days. A reverse stock split of up to 200‑to‑1 may be effected at the Board’s discretion within one year.
The company frames the financings as support for a potential digital asset treasury strategy and general corporate needs. As context, 7,386,705 shares of common stock were outstanding as of October 2, 2025. FCUV also disclosed recently closed preferred equity: $3,000,000 of Series A Preferred (750,000 shares at $4.00) and up to $7,000,000 of Series B Preferred via staged closings tied to an S‑1 becoming effective and this information statement’s effectiveness. The filing discusses Nasdaq compliance considerations, including prior bid‑price actions and a Market Value of Listed Securities deficiency with a December 29, 2025 compliance date.
Focus Universal (FCUV) insider Edward Lee filed an amended Form 5 for the fiscal year ended 12/31/2024. He reports beneficial ownership of 1,182,000 shares, comprising 481,830 shares held directly and 700,170 shares held indirectly.
Lee is listed as a Director and 10% Owner. Reported activity includes journal entries and transfers among direct holdings and affiliated foundations, such as on 01/02/2024 (J codes) moving 4,000,000 shares between direct ownership and the Lee Gu Private Foundation at $15, and an A code acquisition of 1,000,000 shares on 09/23/2024 at $3.3. Earlier entries in 2022 show foundation-related adjustments at prices around $89.8–$90.3333.
The reported share amounts reflect corporate actions: a 1.5‑for‑1 forward split on 03/23/2023 and a 1‑for‑10 reverse split effective 01/31/2025, which affect the share counts presented in this statement.
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