Reviva Pharmaceutcls Hldgs Inc SEC Filings

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.

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.

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 is conducting a primary offering of 27,000,000 shares of common stock, together with Series E warrants for up to 27,000,000 shares and Series F warrants for up to 27,000,000 shares, at a combined public offering price of $0.335 per share and accompanying warrants, for maximum gross proceeds of $9,045,000. After placement fees and expenses, net proceeds are estimated at about $8.1 million, with the company planning to use the cash for research and development of its lead drug brilaroxazine and for working capital.

The offering is a best-efforts, no-minimum deal led by A.G.P., so Reviva may raise substantially less than the maximum and investor funds will not be placed in escrow. Common shares outstanding would be 96,337,119 after the transaction, before any warrant exercises, resulting in dilution for new and existing holders. The Series E warrants are exercisable immediately at $0.335 for five years, while the Series F warrants share the same exercise price with a 12‑month term.

Reviva highlights positive Phase 3 RECOVER-1 data and one‑year open‑label extension results in schizophrenia and plans to seek an FDA meeting in Q4‑2025 to discuss a potential NDA based on existing trials, with a possible NDA filing targeted for Q2‑2026 if the agency response is favorable and additional financing is secured.

Reviva Pharmaceuticals plans a primary offering of common stock, together with Series E and Series F common warrants, and pre-funded warrants sold in lieu of common stock for certain large investors. Each share or pre-funded warrant will be sold with one Series E warrant and one Series F warrant, both exercisable immediately, with the Series E warrant having a five-year term and the Series F warrant a 12‑month term. The transaction is a best‑efforts, no‑minimum offering led by A.G.P./Alliance Global Partners, so proceeds to Reviva will depend on actual investor demand.

Reviva expects to use net proceeds mainly to fund research and development for its lead drug brilaroxazine and for working capital and general corporate purposes. The prospectus highlights positive Phase 3 RECOVER-1 and one‑year open‑label extension results in schizophrenia and outlines a potential path to an NDA submission based on existing Phase 2 and Phase 3 data. The company cautions that investors may face dilution, that the warrants will not be listed, and that limited proceeds could constrain its ability to execute its business plan.

Reviva Pharmaceuticals plans a primary offering of common stock, together with Series E and Series F common warrants, and pre-funded warrants sold in lieu of common stock for certain large investors. Each share or pre-funded warrant will be sold with one Series E warrant and one Series F warrant, both exercisable immediately, with the Series E warrant having a five-year term and the Series F warrant a 12‑month term. The transaction is a best‑efforts, no‑minimum offering led by A.G.P./Alliance Global Partners, so proceeds to Reviva will depend on actual investor demand.

Reviva expects to use net proceeds mainly to fund research and development for its lead drug brilaroxazine and for working capital and general corporate purposes. The prospectus highlights positive Phase 3 RECOVER-1 and one‑year open‑label extension results in schizophrenia and outlines a potential path to an NDA submission based on existing Phase 2 and Phase 3 data. The company cautions that investors may face dilution, that the warrants will not be listed, and that limited proceeds could constrain its ability to execute its business plan.

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.