Welcome to our dedicated page for Tantech Holdings SEC filings (Ticker: TANH), 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.
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Tantech Holdings Ltd announced a private placement under a Purchase Agreement, selling 3,614,464 units at $1.66 per unit. Each unit includes one common share, three Series C warrants (exercise price $1.66) and three Series D warrants (exercise price $1.83). The warrants are exercisable immediately and expire three years from issuance, with standard anti‑dilution adjustments for events like share combinations.
The securities were offered under Section 4(a)(2)/Reg D exemptions and were not registered at issuance. The company agreed in a registration rights agreement to file a resale registration statement for the warrants and underlying shares within 60 days of closing, seek effectiveness within 120 days if fully reviewed, and keep it effective until holders no longer own the covered securities.
Tantech engaged Aegis Capital Corp. as exclusive financial advisor for the transaction, agreeing to a 4.0% cash fee on gross proceeds and up to $100,000 for legal counsel expenses. No placement agent was used for the private placement.
Tantech Holdings (TANH) entered a financing and completed share exchanges. The company sold a promissory note with an original principal of $3,230,000 to Streeterville Capital for $3,000,000 in gross proceeds. The note bears 7% annual interest, matures 12 months after the purchase price date, includes a $210,000 original issue discount and $20,000 in fees, and may be prepaid at 105% of the elected balance.
Streeterville can require cash redemptions of up to $750,000 per month starting six months after funding. Covenants require SEC filing compliance, maintaining a NASDAQ or NYSE listing, and prohibit certain “Restricted Issuances” without Streeterville’s consent. Trigger Events can increase the outstanding balance by up to 25%, and an Event of Default allows acceleration and interest up to 15% per year, subject to law. Streeterville also has the right to participate in up to 30% of future convertible debt financings.
Separately, between October 2 and 15, 2025, Tantech exchanged five partitioned notes (from an August 1, 2024 note) for common shares, including $100,000 for 71,225 shares and $110,000 for 74,728 shares, under Section 3(a)(9).
Tantech Holdings Ltd. amended its annual report to disclose several material corporate and financial events affecting liquidity, capital structure and operations. The Group held approximately $35.0 million cash in banks at December 31, 2024, and recorded a $1,008,290 gain on the disposition of Tantech Charcoal while recording a $2,023,033 loss on the disposition of USCNHK.
The filing details multiple financings and convertible notes, including a June 2023 note with a 7% coupon, conversion mechanics with a $1.20 floor, subsequent exchanges and partial conversions, and an April 2024 unit offering that raised aggregate gross proceeds of $21,000,000. The Group also transferred financing receivables as part of a transaction settling $46.0 million of a larger consideration tied to Xintong, with additional tranches and cash payments due by September 30, 2025.
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