Laura A. Philips, a director of Niki BioSolutions, Inc. (NIKI), acquired 8,000 stock options in a grant on July 22, 2026, with an exercise price of $8.83 per share and an expiration date of July 22, 2036. The grant left her with 8,000 options held directly. Under the stated schedule, 2,000 options vested immediately upon the closing of the merger; the remaining 6,000 vest in three equal quarterly installments of 2,000, starting on the first business day of the first full quarter following the effective date of the merger.
At Niki BioSolutions, Inc. (NIKI), director and 10% owner Kira Sheinerman acquired 8,000 stock options on July 22, 2026. Of those options, 2,000 vested immediately upon the closing of the merger; the remaining 6,000 vest in three equal quarterly installments of 2,000, commencing on the first business day of the first full quarter following the merger’s effective date.
Niki BioSolutions, Inc. director and 10% owner Kira Sheinerman received an award of 8,000 stock options on July 22, 2026, exercisable at $8.83 per share and expiring July 22, 2036. The options cover 8,000 common shares. Under the award terms, 2,000 options vested immediately upon the merger closing; the remaining 6,000 vest in three equal quarterly installments of 2,000, beginning on the first business day of the first full quarter following the merger’s effective date.
Niki BioSolutions, Inc. appointed Thomas Freeburg as Chief Financial Officer on October 9, 2026, for a two-year term commencing September 1, 2026, unless terminated sooner. Freeburg previously served as Chief Financial Officer, Secretary and Treasurer of Interpace Biosciences from February 2021 through March 2023 and is a Certified Public Accountant. His employment agreement provides for a $250,000 base salary, with $25,000 deferred until the company receives certain funding; the base salary increases to $275,000 upon receipt of additional funding. He is eligible for an annual bonus of up to 50% of base salary and the agreement provides for 50,000 stock options at an exercise price of $8.83 per share, with an agreed vesting schedule. Either party may terminate the agreement on 45 days’ notice before the end of the then-current term; the company may remove him for cause to the extent permitted by applicable law.
Niki BioSolutions, Inc. entered into an at-the-market offering agreement allowing it to issue and sell common stock from time to time with an aggregate maximum offering price of up to $1,396,000, subject to the agreement’s limits, available authorized but unissued shares, and the company’s continued eligibility to use Form S-3. H.C. Wainwright & Co., LLC will use commercially reasonable efforts to sell shares as agent at market prices. The company sets a maximum number of shares for each trading day and a minimum sale price; Wainwright may also purchase as principal under a separate terms agreement.
The company has no obligation to sell shares. For sales as agent, it will pay Wainwright 3.0% of the gross sales price and reimburse certain expenses. Dr. Kira Sheinerman, the company’s largest shareholder and a director, is a managing director of Wainwright, which is deemed to have a conflict of interest under FINRA Rule 5121. Brookline Capital Markets, a division of Arcadia Securities, LLC, agreed to act as qualified independent underwriter for no additional compensation.
Niki BioSolutions, Inc. (NIKI) may offer and sell common stock with an aggregate offering price of up to $1,396,000 through an at-the-market program from time to time, with H.C. Wainwright & Co., LLC acting as selling manager. The company is not assured of selling any shares.
Sales compensation is set at 3.0% of gross proceeds. Niki intends to use net proceeds, if any, for general corporate purposes, including working capital, product development, and sales and marketing. Under the prospectus’s illustration of 330,023 shares sold at $4.23 per share, new purchasers would face immediate net tangible book value dilution of $(0.89) per share; existing shareholders’ net tangible book value would decrease by $(0.12) per share.
Niki reported 2,938,625 shares outstanding as of October 8, 2026. The prospectus identifies regulatory uncertainty related to Hong Kong as a potential risk to operations and securities value and says Niki does not expect to pay cash dividends in the foreseeable future.
Niki BioSolutions, Inc. (NIKI) filed a pre-effective amendment to a shelf registration for offerings with an aggregate offering price of up to $75,000,000. The securities may include common or preferred stock, warrants, subscription rights, debt securities, units, or combinations. Sales may occur only after the registration statement becomes effective, with specific terms provided in a prospectus supplement.
The amendment adds Hong Kong legal and operational risk disclosure in response to SEC comments. Niki says its principal business operations are in Hong Kong and describes possible effects of PRC regulatory developments on operations and future offerings. Separately, DiamiR, Niki’s wholly owned subsidiary, received a going-concern warning in its auditor’s report for the year ended May 31, 2026; management believes its capital is insufficient to fund operations for the next 12 months.
Niki BioSolutions, Inc. (NIKI) filed a pre-effective amendment to its shelf registration statement to offer, from time to time after effectiveness, up to $75,000,000 of common stock, preferred stock, warrants, subscription rights, debt securities and units. The company qualifies as a smaller reporting company and is using the Nasdaq Capital Market listing of its common stock under the symbol NIKI as the primary trading venue.
The prospectus emphasizes that Niki is a Delaware holding company whose principal operations are conducted through subsidiaries, with a significant portion of its business in Hong Kong. It highlights extensive legal and operational risks related to PRC and Hong Kong regulation, including potential intervention by Chinese authorities, evolving cybersecurity and data rules, and the Holding Foreign Companies Accountable Act, any of which could materially affect operations or render the common stock significantly less valuable or worthless.
The document also discloses that Niki’s key subsidiary DiamiR is a pre-commercial clinical-stage business that has incurred losses, has no product sales and whose auditors raised substantial doubt about its ability to continue as a going concern, meaning the group expects to require significant additional capital. The company details internal cash-transfer practices among entities, notes substantial historical funding of various subsidiaries, and states that as of the prospectus date it has obtained all permissions necessary to operate, though future regulatory changes could constrain capital flows, business activities or access to U.S. capital markets.
Niki BioSolutions, Inc. (NIKI) filed a current report to furnish a corporate investor presentation outlining its post-merger strategy and operations. The presentation describes the completed all-stock merger with DiamiR Biosciences Corp., under which DiamiR holds approximately 70% and Aptorum Group holders about 30% of the combined company.
The combined business centers on non-invasive, blood-based diagnostics and pharma services for Alzheimer’s disease and other brain-health indications, built around a CLIA-licensed, CAP-accredited, New York State–licensed laboratory in New Haven, Connecticut and a proprietary microRNA platform. Near-term revenue is expected from pharma services such as APOE genotyping, with the first pharma customer signed and revenue-generating activity described as starting in the third quarter of 2026.
The pipeline includes the CogniMIR® Alzheimer’s risk test (analytically validated, with clinical validation planned in 2027 and more than 2,000 samples collected), APOE genotyping, and proof-of-concept tests for Rett syndrome, glioblastoma and Long-COVID, plus early-stage therapeutic candidates. The presentation cites external estimates that the Alzheimer’s diagnostics market could grow from $9.2 billion in 2025 to $21.5 billion in 2035 and emphasizes that many statements are forward-looking and not guarantees of future results.