Welcome to our dedicated page for SHF Holdings SEC filings (Ticker: SHFS), 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 SHF Holdings, Inc. (NASDAQ: SHFS) SEC filings page on Stock Titan provides direct access to the company’s official disclosures as a cannabis-focused financial technology platform. These documents are filed with the U.S. Securities and Exchange Commission and cover topics ranging from capital structure and financing arrangements to governance actions and registration statements.
Investors can review current reports on Form 8-K for details on material events such as recapitalization transactions, amendments to the certificate of incorporation, increases in authorized shares, approval of potential reverse stock splits, and the establishment or amendment of equity financing arrangements like the common stock purchase agreement and equity line of credit with CREO Investments LLC. 8-K filings also describe leadership appointments and board changes that affect Safe Harbor’s governance and financial oversight.
Safe Harbor’s registration statements on Form S-1 and S-1/A outline the terms under which shares of Class A common stock may be offered or resold, including shares issuable upon conversion of Series B Convertible Preferred Stock and exercise of warrants, as well as shares related to the CREO equity financing. These filings provide granular information about the company’s capital structure, risk factors and status as a smaller reporting company and emerging growth company.
Proxy materials such as the Definitive Proxy Statement on Schedule 14A give insight into shareholder proposals, including increases in authorized common stock, approvals of share issuances tied to preferred stock and warrants, and authorization for potential reverse stock splits. Voting results for these proposals are typically reported in subsequent 8-K filings.
On Stock Titan, SHFS filings are supplemented with AI-powered summaries that explain the key points of lengthy documents in plain language. Users can quickly see what changed in a new 8-K, how an S-1 registration affects potential dilution, or what a proxy proposal would authorize. Real-time updates from EDGAR ensure that new filings appear promptly, while dedicated sections make it easy to locate quarterly and annual reports when filed, as well as insider-related disclosures such as warrant and preferred stock arrangements.
This combination of raw filings and AI-generated explanations helps investors, analysts and cannabis industry stakeholders understand how Safe Harbor manages its capital, complies with listing standards and structures its cannabis-focused financial platform.
SHF Holdings, Inc. Chief Marketing Officer Jeffrey R. Kay reported multiple transactions in Series B securities. On September 30, 2025, he entered a Securities Purchase Agreement under which the company issued 63 shares of Series B Convertible Preferred Stock at $800 per share and Series B Warrants to buy 4,057 shares of common stock at a conversion price of $7.7644 per share, with the warrants expiring on May 10, 2029. The acquisition was subject to shareholder approval obtained on November 6, 2025. The Series B Preferred Stock is perpetual. The company later redeemed one preferred share on December 10, 2025 and another on December 31, 2025, leaving Kay with 61 Series B preferred shares. The filing notes the transactions were reported late due to an administrative oversight.
SHF Holdings, Inc. director and senior executive Terrance Elliot Mendez increased his exposure to the company through preferred stock, warrants, and stock options tied to a financing milestone. On September 30, 2025, he bought 125 shares of Series B Convertible Preferred Stock at $800 per share and received Series B Warrants to purchase 8,050 shares of common stock at a $7.7644 exercise price, under a Securities Purchase Agreement on the same terms as other participants and subject to shareholder approval obtained on November 6, 2025. That day he also received a stock option grant for 91,751 common shares at a $2.40 exercise price, vesting in full once the company completed an equity financing with at least $4 million in gross proceeds, which occurred on September 30, 2025. The company subsequently redeemed one Series B preferred share on December 10, 2025 and one more on December 31, 2025 under the preferred stock’s terms, leaving him with 123 Series B preferred shares.
SHF Holdings, Inc. Chief Investment & Strategy Officer Michael Regan reported several 2025 equity-linked transactions. On September 30, 2025, he entered a Securities Purchase Agreement under which the company issued 63 shares of Series B Convertible Preferred Stock at $800 per share and Series B Warrants initially exercisable for 4,057 common shares at $7.7644, on the same terms as other participants, subject to shareholder approval obtained on November 6, 2025. That day he also held a previously granted stock option for 45,875 common shares at $2.40, which vested 100% when the company completed an equity financing with at least $4 million in gross proceeds on September 30. The company later redeemed one Series B Preferred share on December 10, 2025 and another on December 31, 2025, leaving 61 Series B Preferred shares. The filing notes it was reported late due to an administrative oversight.
SHF Holdings, Inc. director Richard Carleton entered into a Securities Purchase Agreement on September 30, 2025, under which the company issued and sold to him 13 shares of Series B Convertible Preferred Stock at $800 per share and Series B Warrants to buy 837 shares of common stock at $7.7644 per share. The acquisition of these securities was subject to shareholder approval, which was obtained on November 6, 2025. The Series B Preferred Stock is perpetual. The company later redeemed one share of his Series B Preferred Stock on December 10, 2025 and one share on December 31, 2025, leaving him with 11 Series B Preferred shares reported as of year-end.
SHF Holdings, Inc. reported that PAO SVP of Finance Controller Douglas Beck received a grant of stock options covering 45,875 shares of common stock at an exercise price of $2.40 per share. The options were granted on August 7, 2025 and were subject to a financing vesting condition tied to an equity financing that generated at least $4 million in gross proceeds for the company. This condition was met on September 30, 2025, causing the options to vest 100% on that date. Following this compensation-related award, Beck holds 45,875 stock options directly, with an expiration date of August 7, 2035. The filing notes the transaction was reported late due to an administrative oversight.
SHF Holdings, Inc. executive Michael Regan, Chief Investment & Strategy Officer, reported his initial beneficial ownership on a Form 3. He holds a stock option to buy 7,326 shares of common stock at an exercise price of $6.40 per share, expiring on March 10, 2035. The options were granted on March 10, 2025 and vest at a rate of 33.3% per year starting December 31, 2025, indicating this is a compensation award rather than an open-market trade.
SHF Holdings, Inc. filed an initial ownership report for Chief Marketing Officer Kay Jeffrey R., detailing stock option awards tied to common stock. The filing shows options to acquire 25,824 shares at $2.40 per share expiring in 2035, and options to acquire 23,781 shares at $2.22 per share, also expiring in 2035.
Footnotes explain that the options were granted on April 7, 2025 and August 7, 2025, and vest at a rate of 33.3% per year beginning December 31, 2025. These entries reflect holdings rather than new market purchases or sales.
SHF Holdings, Inc. filed an initial insider ownership report for Douglas Beck, who serves as PAO SVP of Finance Controller. This Form 3 identifies him as a reporting person for the company’s stock. The filing does not list any buy, sell, or other share transactions.
SHF Holdings, Inc. will hold its 2026 virtual annual stockholders meeting on June 17, 2026 at 7:30 a.m. Mountain Daylight Time. Stockholders as of April 30, 2026 may vote on electing two Class II directors and ratifying Macias, Gini & O’Connell LLP as independent auditor for 2026.
The board is majority independent, with staggered three-year terms and fully independent audit, compensation, and nominating committees. The company details executive and director compensation, including equity awards, and discloses an ongoing Abaca merger-related lawsuit where a court upheld counterclaims on the validity of a merger amendment and related breach, with damages to be determined.