Reviva Pharmaceutcls Hldgs Inc SEC Filings

Dr. Laxminarayan Bhat amended his Schedule 13D to report beneficial ownership of 3,680,874 shares of Reviva Pharmaceuticals Holdings, Inc. common stock, representing approximately 3.8% of the outstanding shares based on 96,337,119 shares outstanding as of September 22, 2025. Of those shares, Dr. Bhat has sole voting and dispositive power over 3,352,177 shares, which includes 2,478,856 shares held outright and 873,321 options exercisable within 60 days. An additional 328,697 shares are shared with his spouse, primarily through options exercisable within 60 days. The filing notes Dr. Bhat ceased to be a beneficial owner of more than 5% as of September 22, 2025 and reported no transactions in the prior 60 days.

Amendment No. 11 to the Schedule 13D updates beneficial ownership disclosures for Parag Saxena and Vedanta Partners, LLC in Reviva Pharmaceuticals Holdings, Inc. (ticker RVPH). As of the filing date, Vedanta Partners reports beneficial ownership of 5,367,069 shares, representing 5.4% of the 96,337,119 shares outstanding. Mr. Saxena is deemed to beneficially own 6,259,806 shares, or 6.2%, including directly held shares, shares held through related partnerships, vested options and securities underlying warrants and pre-funded warrants. The filing states no transactions occurred in the prior 60 days and explains certain exercise limitations on warrants that prevent ownership above 4.99% for some holders.

Reviva Pharmaceuticals Holdings, Inc. filed a Current Report disclosing that on September 18, 2025 it launched and priced an offering of securities and entered into a Placement Agency Agreement with A.G.P./Alliance Global Partners to market the offering. The company agreed to pay the placement agent a cash fee equal to 7.0% of aggregate gross proceeds (with a 3.5% fee for proceeds from certain investors as mutually agreed) and to reimburse up to $15,000 for non-accountable expenses and up to $75,000 for out-of-pocket accountable legal expenses. The filing references executed forms of Series E and Series F warrants, a securities purchase agreement, the placement agency agreement, legal opinion of Lowenstein Sandler LLP, and press releases announcing the launch and pricing of the offering as exhibits.

The report includes a forward-looking statement caution noting risks to closing the offering and to anticipated proceeds; the filing does not state the final offering size or the exact proceeds expected in this Current Report text.

Reviva Pharmaceuticals Holdings, Inc. furnished a Current Report on Form 8-K stating it issued a press release on August 14, 2025 that discloses financial information and operating metrics for the fiscal quarter ended June 30, 2025 and discusses business outlook. The filing indicates the press release is attached as Exhibit 99.1 and is incorporated by reference into the report. The company also states the information is being furnished to the SEC and expressly is not being "filed" for purposes of Exchange Act Section 18, limiting the legal liabilities associated with formal filed disclosures.

Reviva Pharmaceuticals Holdings, Inc. Schedule 13G/A discloses that Tang-related reporting persons jointly beneficially own 3,399,975 shares of the issuer's common stock, representing 4.8% of the class on a basis that includes those shares as currently issuable upon exercise of warrants. All reported shares are currently issuable upon exercise of warrants described in the issuer's prospectus; the filing specifies that Tang Capital Partners, LP holds 4,533,300 Investor Warrants exercisable for 0.75 of a share each and subject to ownership limits that cap post-exercise ownership at 9.99% (with a potential increase to up to 19.99% after notice). The reporting persons indicate shared voting and dispositive power over the reported shares and state the position is not held to change or influence control of the issuer.

Highbridge Capital Management, LLC reports beneficial ownership of warrants convertible into 8,000,000 shares of Reviva Pharmaceuticals Holdings, Inc. common stock, representing 9.9% of the class after giving effect to an offering described in the issuer's June 26, 2025 prospectus supplement and subject to a contractual 9.9% blocker. The filing clarifies the 8,000,000 figure reflects full exercise of the reported warrants but notes Highbridge cannot exercise warrants to the extent doing so would exceed the 9.9% ownership limit, so the actual exercisable shares are limited by that blocker. The reporting person is an investment adviser filing on behalf of Highbridge funds and discloses that one fund, Highbridge Tactical Credit Master Fund, L.P., holds more than 5% of the class.

Reviva Pharmaceuticals (RVPH) is reported to have 3,571,603 shares beneficially owned by CVI Investments, Inc. and Heights Capital Management, Inc., representing 4.9% of the outstanding common stock based on the prospectus supplement count of 68,003,613 shares. The reported holdings consist of shares issuable upon exercise of warrants, and the warrants are not exercisable to the extent that exercise would cause beneficial ownership to exceed 4.99%.

Heights Capital Management serves as the investment manager to CVI Investments and may exercise voting and dispositive power over the shares reported; both Reporting Persons disclaim beneficial ownership except for pecuniary interest.