TAO Synergies Inc SEC Filings

TAO Synergies Inc. is asking stockholders to vote at a virtual annual meeting on December 18, 2025. The agenda includes electing one director, Bruce T. Bernstein, to a three-year term and approving an Issuance Proposal tied to an October 13, 2025 financing. That financing involved 11,000 shares of Series E Preferred Stock initially convertible into up to 1,375,000 shares of common stock at $8.00 per share, and warrants to purchase up to 1,375,000 additional shares, plus 55,000 GPN warrants at $8.00. Because this could exceed 20% of common stock outstanding, Nasdaq rules require stockholder approval. Stockholders are also asked to add 500,000 shares to the 2020 Equity Incentive Plan, ratify Stephano Slack LLC as auditor for 2025, and approve the ability to adjourn the meeting if more proxies are needed. As of October 29, 2025, 6,718,912 shares of common stock were outstanding and entitled to vote.

TAO Synergies Inc. (TAOX) filed its Q3 2025 10-Q, highlighting a pivot to a TAO-focused crypto treasury strategy and initial staking revenue. The company reported Q3 staking revenue of $203,371 and a Q3 net loss of $3,923,247. For the nine months, staking revenue totaled $207,333 with a net loss of $21,054,156, driven by operating expenses and significant non-cash fair value changes in warrant and derivative liabilities.

On the balance sheet, cash and equivalents were $1,445,427, digital assets were $15,381,039 (50,363.26 TAO at period-end fair value), and total assets were $18,358,987. Total liabilities were $1,690,046, including a warrant liability of $646,000 and a derivative liability of $2,000. Stockholders’ equity was $16,065,144. The company issued and converted preferred securities during the year and recorded $2,014,783 from investor warrant exercises and $4,924,000 net proceeds from Series D preferred, while investing $17,570,203 to acquire TAO tokens. As of November 11, 2025, common shares outstanding were 7,128,912. Management continues to stake TAO via BitGo-supported validators (tao5 and Yuma) and launched The TAO Daily media platform to support its ecosystem focus.

TAO Synergies Inc. filed a Form S-3 to register the resale of up to 22,302,303 shares of common stock. These shares are issuable upon conversion of newly designated Series E preferred stock and upon exercise of investor and placement agent warrants. The filing states that selling stockholders will receive all proceeds from any share sales; the company will not receive proceeds from these resales.

The company would receive cash only if warrants are exercised for cash. The offering table notes potential gross proceeds of approximately $11.4 million if all Series E warrants are exercised for cash. TAO Synergies’ common stock trades on Nasdaq as TAOX, with a last reported price of $7.70 on November 11, 2025. Shares may be sold in public or private transactions at market or negotiated prices, and timing and amounts are at the selling holders’ discretion.

TAO Synergies Inc. (TAOX) filed a preliminary proxy for its 2025 annual meeting, to be held virtually at 11:00 a.m. ET on December 18, 2025. Stockholders will vote to elect one director and on several proposals tied to recent financing and compensation plans.

The proxy seeks authorization under Nasdaq Listing Rule 5635(d) for the potential issuance of common shares underlying the October 13, 2025 private placement: up to 1,375,000 shares issuable upon conversion of Series E Preferred Stock at $8.00 per share and warrants to purchase up to 1,375,000 shares, plus placement agent warrants for 55,000 shares at $8.00. This approval relates to issuances equal to or exceeding 20% of pre-transaction outstanding common stock, including anti-dilution adjustments.

Other items include: increasing the 2020 Equity Incentive Plan share reserve by 500,000 shares, ratifying Stephano Slack LLC as independent auditor for 2025, and permitting adjournment to solicit additional proxies if needed. Holders of Common Stock, Series D Preferred and, with limits, Series E Preferred as of October 29, 2025 may vote, with Series E not voting on the Issuance Proposal.

TAO Synergies (TAOX) reported insider equity activity by its Chief Financial Officer, Robert Weinstein. On October 17, 2025, he received 10,000 restricted stock units that vested immediately, increasing his holdings, and the company withheld 4,000 shares at a price of $7.23 to cover taxes. Following these transactions, he beneficially owned 16,574 shares.

The filing also records an employee stock option grant for 7,000 shares at an exercise price of $10.38, exercisable starting July 14, 2026 and expiring July 14, 2035. The option grant was approved after shareholder approval on August 6, 2025.

TAO Synergies Inc. (TAOX) reported an insider equity transaction by a director on a Form 4. On October 17, 2025, the director received 15,000 restricted stock units that vested immediately under the 2020 Equity Incentive Plan.

To cover taxes upon vesting, the issuer withheld 6,000 shares at $7.23, which is not an open-market sale. Following these transactions, the director beneficially owned 19,566 shares directly.

The filing also shows an employee stock option for 7,000 shares at an exercise price of $10.38, granted effective August 6, 2025, first exercisable on July 14, 2026, and expiring on July 14, 2035. The option grant was approved by a board committee on July 14, 2025, contingent on shareholder approval of an amendment to the plan, which was obtained on August 6, 2025.

TAO Synergies (TAOX) insider filed a Form 4 reporting equity awards and related share movements. On 10/17/2025, the Executive Chairman/Director received 100,000 restricted stock units under the 2020 Equity Incentive Plan, which vested immediately. To cover taxes upon vesting, 40,000 shares were withheld by the company at a price of $7.23, a non‑open‑market transaction.

Following these transactions, the insider beneficially owns 86,681 shares. Separately, an employee stock option for 36,000 shares with an exercise price of $10.38 was reported, exercisable 07/14/2026 and expiring 07/14/2035. The option grant was approved on 07/14/2025, subject to shareholder approval of a plan amendment, which the company received on 08/06/2025.

TAO Synergies Inc. (TAOX) filed a Form 4 reporting a director’s equity award. The reporting person received an employee stock option grant for 10,000 shares at an exercise price of $10.38 per share. The options become exercisable on July 14, 2026 and expire on July 14, 2035.

The grant was approved on July 14, 2025, subject to shareholder approval of an increase to the 2020 Equity Incentive Plan; shareholders approved the amendment on August 6, 2025. Following the transaction, 10,000 derivative securities were beneficially owned on a direct basis.