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PetVivo Holdings, Inc. entered into a Subscription Agreement to receive $1,000,000 of equity financing in exchange for 1,250,000 shares of restricted common stock. The company received an initial $400,000 on March 13, 2026 and expects the remaining $600,000 on or before April 15, 2026.
The investor also received a purchase option to invest an additional $1,500,000 for 1,875,000 restricted shares, anticipated on or before June 30, 2026, on the same terms. The transaction is a private offering to an accredited investor under Section 4(a)(2) and Regulation D, and the shares are restricted securities subject to Rule 144.
A.L. Sarroff Fund, LLC, a 10% owner of PetVivo Holdings, Inc., reported open-market purchases tied to a unit financing. The fund acquired 1,250,000 Warrants to buy Common Stock with an exercise price of $1.10 per share, expiring on March 13, 2029.
According to the footnotes, these Warrants and 1,250,000 shares of Common Stock were purchased as Units at $0.80 per Unit, with each Unit consisting of one share and one Warrant. Following the stock purchase, the fund holds 10,178,196 Common shares directly.
PetVivo Holdings, Inc. received a significant investment from A.L. Sarroff Fund, LLC, Alan Sarroff, and Eileen Sarroff, who now report beneficial ownership of 16,433,204 shares of common stock, or about 39.6% of the company, including assumed exercise of warrants.
On March 13, 2026, these investors agreed to purchase 1,250,000 units in a private placement at $0.80 per unit, with each unit consisting of one common share and a warrant to buy one additional share at $1.10. They also obtained an option, exercisable until June 15, 2026, to purchase up to 1,500,000 more units at the same price.
The investors describe their stake as for investment purposes but state they may increase or decrease their holdings over time, including through additional securities or derivatives tied to PetVivo’s stock. They also note the possibility of entering into swaps, options, or other derivative transactions that could be significant in size.
LOWENTHAL GARRY N reported acquisition or exercise transactions in this Form 4 filing.
PetVivo Holdings, Inc. granted 71,993 shares of restricted common stock at $0.69 per share to a corporation owned by Chief Financial Officer Garry N. Lowenthal as compensation for past performance. These shares are held indirectly, bringing his reported indirect holdings to 812,460 shares.
PetVivo Holdings, Inc. reported that Chief Executive Officer John Lai indirectly acquired 72,282 shares of restricted common stock. The shares were granted to a corporation he owns as compensation for his past performance. Following this award, that corporation’s indirect holdings increased to 2,240,492 common shares.
PetVivo Holdings, Inc. filed a current report to furnish an updated investor presentation under Regulation FD. Company representatives plan to use this presentation at investor conferences and other forums, and it is attached as Exhibit 99.1 and incorporated into the report by reference.
The investor presentation, dated March 2026, may also be used with investors, analysts and others and on the company’s website. The information is being furnished, not filed, so it is not subject to certain Exchange Act liabilities or automatically incorporated into Securities Act or Exchange Act registration statements.
PetVivo Holdings, Inc. reported another loss-making quarter for the period ended December 31, 2025, and disclosed substantial doubt about its ability to continue as a going concern. Quarterly revenue fell to $286,108 from $583,313 a year earlier, while the net loss available to common stockholders widened to $2,316,455. For the nine months, revenue was $886,892 versus $907,783, with a net loss of $7,788,904. Cash dropped to just $18,164, against an accumulated deficit of $98,987,394. The company shifted away from prior distributors, now relying heavily on Vedco for most sales, and added new licensing agreements for PrecisePRP and an AI platform that it expects to drive future revenue.
PetVivo Holdings, Inc. reported a change in its Board of Directors. On January 26, 2026, director Spencer Breithaupt resigned from the Board, effective that day. The company states his resignation was not due to any disagreement over operations, policies, or practices.
Following his departure, the Board reduced its size from seven to six directors and does not plan to immediately fill the vacancy, though it may add a seventh director in the future at its discretion. The Board expressed appreciation for Mr. Breithaupt’s leadership, guidance, and contributions during his service.
PetVivo Holdings, Inc. furnished a new investor presentation as part of a current report. Representatives plan to use this January 2026 presentation at investor conferences, in other forums, and on the company’s website.
The presentation is included as Exhibit 99.1 and is furnished under Regulation FD and Item 7.01, meaning it is not deemed filed for liability purposes under the Exchange Act and is not automatically incorporated into other securities filings unless specifically referenced. Management notes that the information is summary in nature and may be updated over time through future SEC reports, press releases, or other public disclosures.
PetVivo Holdings, Inc. investor updates ownership report. Individual shareholder Stanley Cruden reports beneficial ownership of 3,620,163 shares of PetVivo common stock, representing 9.37% of the class, as of the event date of 12/31/2025. He has sole power to vote and dispose of all these shares and reports no shared voting or dispositive power.
The certification states that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of PetVivo Holdings, Inc., nor in connection with any control-related transaction, other than activities solely in connection with a nomination under the cited proxy rule.