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.
Form 3 highlights: Director N. Scott Fine has filed his initial beneficial-ownership report after the 14 Jul 2025 business-combination event between Rafael Holdings (RFL) and Cyclo Therapeutics. He directly owns 335,348 Class B shares, including 3,525 held jointly with his spouse. In addition, he holds derivative rights on 373,945 Class B shares via five option grants (strikes $1.90-$21.16, expiries 2031-2035) and three warrants (strikes $2.70-$184.10, expiries 2025-2027). All securities were exchanged from prior Cyclo awards. The filing signals meaningful insider equity alignment but also identifies potential future dilution should the options and warrants be exercised.
Rafael Holdings, Inc. (RFL) has filed a Form S-8 registration statement to cover 1,393,077 additional shares of Class B common stock for employee equity compensation. The filing registers (i) 774,375 shares related to the amended and restated 2021 Rafael Holdings Equity Incentive Plan and (ii) 618,702 shares issuable under the Cyclo Therapeutics 2021 Omnibus Equity Incentive Plan.
The Cyclo shares stem from the 25 March 2025 merger in which Cyclo Therapeutics became a wholly owned subsidiary; all outstanding Cyclo options were assumed by Rafael and converted into options for Rafael Class B stock on substantially similar terms. The S-8 ensures that awards granted or to be granted under both plans are properly registered, allowing the company to issue shares upon exercise or vesting without further SEC registration.
The filing includes customary incorporation by reference of Rafael’s most recent 10-K, subsequent 10-Qs, numerous 8-Ks detailing merger progress, and exhibits such as legal opinions and auditor consents. Standard Delaware indemnification provisions for directors and officers are reiterated. No new financial results, capital-raising activities, or changes to business strategy are disclosed; the document is strictly administrative and facilitates post-merger equity compensation.
Rafael Holdings (RFL) Form 4 filing – CFO David Polinsky reported a routine tax-withholding transaction on 06/21/2025. The company withheld 2,347 Class B common shares, valued at $1.595 per share, to cover statutory taxes triggered by the vesting of restricted stock units. The filing is coded “F,” confirming the shares were not sold in the open market but surrendered to the issuer. Following the transaction, the CFO continues to beneficially own 268,075 Class B shares, comprising 76,882 shares held outright, 69,943 vested restricted shares, and 121,250 unvested restricted shares that will vest in scheduled tranches through 01/13/2029. No new shares were acquired and no open-market sale was executed; the transaction has no direct cash impact and does not signal a change in insider sentiment. The filing maintains broad insider alignment, as the CFO retains a meaningful equity stake worth roughly $0.43 million at the reported price. Overall, the Form 4 appears administratively routine with negligible impact on the company’s capital structure or market perception.