Welcome to our dedicated page for Rafael Holdings SEC filings (Ticker: RFL), 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 Rafael Holdings, Inc. (RFL) SEC filings page on Stock Titan aggregates the company’s regulatory disclosures, giving investors structured access to its official reports and transaction documents. Rafael Holdings’ filings describe it as a biotechnology company that develops pharmaceuticals and holds interests in clinical and early-stage pharmaceutical and medical device companies, with a lead program focused on Trappsol® Cyclo™ for Niemann-Pick Disease Type C1.
Key filings include periodic reports and Form 8-K current reports that discuss quarterly and annual financial results, research and development spending, consolidation of subsidiaries such as Cyclo Therapeutics, Cornerstone and Day Three Labs, and capital structure changes. For example, Form 8-K filings detail the completion of a $25 million rights offering of Class B common stock, the issuance and listing of warrants in connection with the Cyclo merger, and subsequent information about those warrants, including their expiration and listing status.
Corporate governance and stockholder matters are documented in the company’s definitive proxy statement (DEF 14A) and related Form 8-Ks, which outline the election of directors, ratification of the independent registered public accounting firm, amendments to the 2021 Equity Incentive Plan and the company’s status as a controlled company under New York Stock Exchange rules. These filings also describe the dual-class share structure and voting rights associated with Class A and Class B common stock.
Investors can also review specialized filings such as Form 25, which in Rafael Holdings’ case relates to the removal from listing and registration of its warrants on NYSE American, and additional 8-Ks that report material events like board changes and executive appointments. On Stock Titan, AI-powered tools can help summarize lengthy documents such as proxy statements and earnings-related 8-Ks, highlight key terms around equity offerings, warrants and governance changes, and make it easier to understand how Rafael Holdings’ clinical focus and portfolio strategy are reflected in its SEC disclosure record.
Rafael Holdings, Inc. reported that it has released its financial results for the fiscal quarter ended October 31, 2025. On December 11, 2025, the company distributed an earnings press release over a wire service and posted it on the investor section of its website.
The press release is furnished as Exhibit 99.1 to this Form 8-K and is described as announcing the company’s results of operations and financial condition for the quarter. Rafael Holdings notes that the information in this report and Exhibit 99.1 is being furnished, not filed, which affects how it may be used in other SEC filings. The company also indicates that the materials contain forward-looking statements that are subject to the cautionary language included in the press release.
Rafael Holdings, Inc. has had its warrants to purchase shares of its Class B common stock removed from listing and registration on the NYSE American. NYSE American LLC filed a Form 25 notification under Section 12(b) of the Securities Exchange Act of 1934 to strike this class of securities from the exchange.
The exchange states that it has complied with its own rules and with SEC Rule 12d2-2 for withdrawing this warrant class from listing and registration. This action applies specifically to the warrants, not to all Rafael Holdings securities, and means these warrants will no longer trade on the NYSE American platform.
Rafael Holdings, Inc. describes warrant terms issued in connection with its merger with Cyclo Therapeutics, Inc. The company issued 1,078,796 warrants that are exercisable for an aggregate of 380,253 shares of its Class B common stock at an exercise price of
Rafael Holdings (RFL) is asking stockholders to vote at its Annual Meeting on January 8, 2026 to elect six directors, ratify CohnReznick LLP as auditor for the fiscal year ending July 31, 2026, and approve an amendment to the 2021 Equity Incentive Plan adding 1,000,000 shares of Class B Common Stock for future awards. Stockholders of record on November 11, 2025 may vote in person or by proxy.
As of the record date, Rafael had 51,762,801 shares outstanding, consisting of 787,163 Class A shares with three votes each and 50,975,638 Class B shares with one‑tenth vote each, voting together on all proposals. Howard S. Jonas beneficially owns all Class A shares and 14,010,522 Class B shares, representing 28.6% of Class B and 50.4% of aggregate voting power, so the company qualifies as a NYSE “controlled company.”
The Board states it does not rely on controlled‑company exemptions, and a majority of directors and all Audit, Compensation, Corporate Governance and Nominating Committee members are independent, with Markus Sieger serving as lead independent director. The proxy also details director and executive pay, including 2025 compensation of $294,000 for Howard Jonas, $592,912 for former CEO William Conkling and $527,353 for CFO David Polinsky, along with related‑party transactions and a 2025 net loss of $30.6 million.
Rafael Holdings (RFL)director effective 10/23/2025. The filing states the reporting person beneficially owns 0 shares of Class B Common Stock on a direct (D) basis and lists no derivative securities. The form is identified as filed by one reporting person.
Rafael Holdings (RFL) filed its annual report, highlighting a pivot to biotech led by Trappsol® Cyclo™ for NPC1. The company completed the Cyclo merger on March 25, 2025 and is running a global, double-blind Phase 3 trial that fully enrolled 94 patients; a June 2025 DMC review found the therapy well tolerated and recommended continuing to 96 weeks. An open-label sub‑study in patients under 3 years showed mostly stabilization or improvement on CGI‑S at 48 weeks, with manageable adverse events.
Beyond Trappsol® Cyclo™, Rafael owns majority stakes in LipoMedix, Cornerstone, Rafael Medical Devices, and Day Three. Rafael Medical Devices received FDA 510(k) clearance on December 11, 2024 for its VECTR System for minimally invasive ligament/fascia release. Cornerstone was restructured in March 2024, making Rafael a 67% owner. Day Three Labs sold certain assets and licensed Unlokt™ applications for a
As context, non‑affiliate market value was about
Rafael Holdings (RFL)Exhibit 99.1. The information is furnished under Item 2.02 and is not deemed filed. The materials also contain forward‑looking statements accompanied by cautionary language.
Rafael Holdings appointed Alan Grayson to its Board on October 23, 2025, and to the Compensation, Corporate Governance and Nominating committees. Director Markus Sieger was named to the audit committee and elected its Chairman. These appointments fill vacancies following the recent passing of Stephen Greenberg. A press release dated October 28, 2025, was filed as Exhibit 99.1.
Rafael Holdings (RFL) disclosed a Form 4 for its Chief Financial Officer. On 10/25/2025, 4,180 shares of Class B common stock were withheld for taxes upon the vesting of restricted stock, coded F, at a price of $1.35 per share.
Following this transaction, the CFO beneficially owns 260,641 shares directly. This total consists of 76,882 shares held directly, 82,509 fully vested restricted shares, and 101,250 unvested restricted shares.
The unvested restricted shares vest as follows: 6,250 quarterly from December 21, 2025 through December 21, 2026; 10,000 on each of October 25, 2026 and October 25, 2027; and 12,500 on each of January 13, 2026, January 13, 2027, January 13, 2028, and January 13, 2029.
Rafael Holdings, Inc. filed a current report to let investors know that a new slide presentation is available. The investor presentation, labeled Exhibit 99.1, is accessible on the company’s website at https://rafaelholdings.irpass.com/ starting October 10, 2025.
The material is furnished under Regulation FD, which is meant to provide fair disclosure of information. The company specifies that this information is not considered formally filed with the SEC or incorporated into other SEC documents. The presentation also includes forward-looking statements that are subject to the cautionary language contained within the slides.