Welcome to our dedicated page for SAB BIOTHERAPEUTICS SEC filings (Ticker: SABSW), 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.
SAB Biotherapeutics, Inc. (SAB BIO), associated in the market with warrants trading under the symbol SABSW, files a range of documents with the U.S. Securities and Exchange Commission that are important for understanding its capital structure, governance, and clinical development funding. These SEC filings relate to the underlying SAB Biotherapeutics common stock and preferred securities that the SABSW warrants reference.
Among the key filings are current reports on Form 8-K, which SAB BIO uses to disclose material events. For example, a Form 8-K dated July 21, 2025 describes a securities purchase agreement for a private placement of Series B Convertible Preferred Stock and related warrants. The filing explains the terms of the preferred stock, its conversion into common stock upon stockholder approval, associated warrants, and the company’s stated intention to use the net proceeds to fully fund the Phase 2b SAFEGUARD study of SAB-142 in Stage 3 type 1 diabetes and for working capital and general corporate purposes. It also summarizes voting rights, dividend provisions, and liquidation preferences for the Series B Preferred Stock.
SAB BIO also files proxy statements on Schedule 14A that detail matters submitted to stockholders. A definitive proxy statement dated August 29, 2025 outlines a special meeting to approve the potential issuance of common stock upon conversion of the Series B Preferred Stock and to amend the 2021 Omnibus Equity Incentive Plan to increase the number of shares available under the plan and adjust the annual evergreen feature. These disclosures provide insight into potential dilution, equity compensation, and changes in control considerations under Nasdaq listing rules.
On this SEC filings page, users can review such documents alongside other periodic and transactional filings as they become available. Filings can help warrant holders and equity investors analyze how preferred stock, warrants, and equity incentive plans may affect the company’s share count and governance. Stock Titan’s tools can pair these filings with AI-powered summaries that highlight key terms, conversion mechanics, voting rights, and use-of-proceeds language, allowing readers to quickly understand how each filing relates to SAB BIO’s clinical strategy for SAB-142 and to the SABSW-linked capital structure.
Biotechnology Value Fund–affiliated investors reported a significant ownership position in SAB Biotherapeutics, Inc. As of the close of business on December 31, 2025, their funds and a managed account held 30,000 Tranche C warrants for Series A-3 Preferred Stock, convertible into 4,761,906 common shares.
The preferred shares convert at $6.30 per common share, based on a $1,000 per preferred share value, and the warrants are exercisable beginning November 23, 2023 for five years. Using 47,606,851 common shares outstanding as of November 10, 2025, the filing states BVF-related entities may be deemed to beneficially own up to approximately 9.1% of the class.
The structure includes a 9.99% “Maximum Percentage” cap that limits conversions so no holder, together with its affiliates and attribution parties, crosses that ownership threshold.
RTW Investments, LP and Roderick Wong, M.D. report their ownership in SAB Biotherapeutics, Inc. on an amended Schedule 13G. They beneficially own 1,587,302 shares of common stock, equal to 3.2% of the company.
The position reflects warrants held by RTW-managed funds to purchase Series A-3 Preferred Stock that is convertible into 1,587,302 common shares. RTW Investments and Dr. Wong share voting and dispositive power over these shares, which are held by the RTW funds. They state the securities are held in the ordinary course of business and not for the purpose of changing or influencing control of SAB Biotherapeutics.
SAB Biotherapeutics, Inc. is the subject of a Schedule 13G showing that Perceptive Advisors LLC, its Perceptive Life Sciences Master Fund, Ltd., and Joseph Edelman collectively report beneficial ownership of 3,471,861 shares of SAB’s common stock, representing 7.3% of the class.
The Master Fund directly holds the 3,471,861 shares, and the ownership percentage is based on 47,606,851 outstanding shares as of November 10, 2025, as disclosed in SAB’s Form 10-Q. Perceptive Advisors, as investment manager, and Mr. Edelman, as managing member, share voting and dispositive power over these shares. The filers certify the position was not acquired to change or influence control of SAB Biotherapeutics.
SAB Biotherapeutics describes clinical and corporate disclosures in this amended shelf filing. The filing reports that SAB-142 showed a favorable safety profile in Phase 1 across a dose range of 0.03 mg/kg to 2.5 mg/kg, with 0% reported serum sickness and 0% reported anti-drug antibodies, supporting chronic ambulatory dosing. The company states SAB-142 demonstrated sustained immunomodulation and a multi-target mechanism of action analogous to rabbit ATG on parameters correlative to C-peptide preservation.
The prospectus reiterates extensive risk-factor topics and lists permitted methods for secondary distributions by selling stockholders. It also references recent SEC filings, including the 2024 annual report and quarterly and current reports filed in 2025, without providing financial results in the included excerpt.
Alexandra Kropotova, Chief Medical Officer of SAB Biotherapeutics, Inc. (ticker: SABSW), reported a routine insider transaction dated 09/19/2025. The Form 4 shows 1,977 shares of common stock were disposed through withholding to satisfy tax obligations on vested restricted stock units (RSUs). Following the transaction, she beneficially owns 45,272 shares, which include 29,340 vested shares and 15,932 RSUs that remain subject to vesting.
The filing is a standard Section 16 disclosure reflecting tax-withholding on RSU vesting rather than an open-market sale or purchase. The form was signed by Ms. Kropotova on 09/22/2025 and does not disclose any derivative transactions or other changes in ownership form.
SAB Biotherapeutics describes SAB-142 clinical and corporate disclosures in a shelf registration prospectus. The filing notes a favorable Phase 1 safety profile for SAB-142 across a dose range of 0.03mg/kg to 2.5mg/kg with 0% reported serum sickness and anti-drug antibodies, and states the candidate showed sustained immunomodulation and a mechanism of action analogous to rabbit ATG correlated with C-peptide preservation. The prospectus lists extensive risk factors and uncertainties about clinical development, enrollment, regulatory approval, funding, manufacturing, market acceptance, intellectual property and continued Nasdaq listing. It also outlines permitted methods for Selling Stockholders to distribute shares and cites recent SEC filings and the Form 8-A description of common stock and warrants.
SAB Biotherapeutics, Inc. solicits shareholder approval at a Special Meeting for three principal matters outlined in the proxy: approval to permit issuance in excess of 19.99% of the company’s outstanding Common Stock upon conversion of Series B Convertible Preferred Stock at less than Nasdaq’s listed "minimum price," which may be deemed a change of control under Nasdaq rules; an amendment to the 2021 Omnibus Equity Incentive Plan to increase shares available for awards by 24,180,000 to a total of 31,932,466; and to increase the Plan’s annual "evergreen" maximum from 10,000,000 shares to 73,750,000 shares. The filing discloses outstanding share counts used for ownership calculations as of August 1, 2025, showing 127,413,435 eligible voting shares, comprised of 10,411,061 Common Stock, 17,002,374 Common Stock assuming conversion of Series A-2, and 100,000,000 Common Stock assuming conversion of Series B. The proxy includes detailed beneficial ownership footnotes for officers, directors, and institutional holders, and notes specific preferred-holdings and ownership "blocker" limits (e.g., 9.99% and 4.99% blockers for certain holders).
Samuel J. Reich, the CEO, Executive Chairman and a director of SAB Biotherapeutics, reported a grant of 4,800,000 stock options on 08/26/2025. The options have an exercise price of $2.17 per share and are issued under the company’s 2021 Omnibus Equity Incentive Plan. The awards are subject to the company receiving stockholder approval to amend the Plan to increase available shares for issuance. The underlying common shares vest over four years, with 1/4 vesting on March 1, 2026 and the remaining 3/4 vesting pro rata monthly over the following 36 months. The Form 4 was signed and filed on 08/28/2025.
SAB Biotherapeutics, Inc. reported a Form 4 filing showing that Chief Financial Officer Lucy To was granted options to purchase 1,200,000 shares of common stock at an exercise price of $2.17 per share. The option grant date is 08/26/2025 and the options expire on 08/26/2035. The options vest over four years: 1/4 vests on March 1, 2026 and the remaining 3/4 vest monthly in 36 equal installments. The awards are conditioned on shareholder approval to amend the company’s 2021 Omnibus Equity Incentive Plan to increase available shares. The Form 4 was signed by Lucy To on 08/28/2025 and identifies her role as Chief Financial Officer.
Alexandra Kropotova, the Chief Medical Officer of SAB Biotherapeutics, Inc. (SABS), reported a grant of stock options on 08/26/2025. The filing shows an award of 2,400,000 options to purchase common stock at an exercise price of $2.17 per share, exercisable through 08/26/2035. The options vest over four years with 25% vesting on March 1, 2026 and the remaining 75% vesting monthly in 36 equal installments. The grant is subject to the company receiving shareholder approval to amend its 2021 Omnibus Equity Incentive Plan to increase the share reserve. The Form 4 was signed by Ms. Kropotova on 08/28/2025.