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TAOX Form 4: 25,000 RSUs granted; 10,000 shares withheld for taxes

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

TAO Synergies Inc. (TAOX) reported director activity on a Form 4. On October 17, 2025, the reporting person received 25,000 restricted stock units that vested immediately at a stated price of $0.00. To cover taxes upon vesting, the issuer withheld 10,000 shares at a price of $7.23, noted with transaction code F (share withholding for taxes).

After these transactions, the reporting person beneficially owned 30,897 shares. Separately, an employee stock option for 12,000 shares with an exercise price of $10.38 was reported as acquired on August 6, 2025, becoming exercisable on July 14, 2026 and expiring on July 14, 2035. The option grant had been approved on July 14, 2025, subject to shareholder approval received on August 6, 2025.

Positive

  • None.

Negative

  • None.
Insider Bernstein Bruce
Role Director
Type Security Shares Price Value
Grant/Award Common Stock, par value $0.0001 per share 25,000 $0.00 --
Tax Withholding Common Stock, par value $0.0001 per share 10,000 $7.23 $72K
Grant/Award Employee Stock Option (right to buy) 12,000 $0.00 --
Holdings After Transaction: Common Stock, par value $0.0001 per share — 40,897 shares (Direct); Employee Stock Option (right to buy) — 12,000 shares (Direct)
Footnotes (1)
  1. Includes (i) 25,000 restricted stock units granted on October 17, 2025, under TAO Synergies Inc.'s (the "Issuer") 2020 Equity Incentive Plan which vested immediately and (ii) 15,897 shares of common stock. Represents shares withheld by the Issuer to satisfy the tax liability upon vesting of restricted stock units and does not constitute an actual sale or other open-market transaction. The option grant was approved by a committee of the Issuer's board of directors on July 14, 2025 subject to shareholder approval of an amendment to the Company's 2020 Equity Incentive Plan (the "Plan") to increase the number of shares authorized for issuance of awards under the Plan. The Company received shareholder approval of the amendment to the Plan on August 6, 2025.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Bernstein Bruce
(Last) (First) (Middle)
C/O TAO SYNERGIES INC.
1185 AVENUE OF THE AMERICAS, 3RD FLOOR
(Street)
NEW YORK NY 10036
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
TAO Synergies Inc. [ TAOX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/06/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.0001 per share 10/17/2025 A 25,000 A $0.00 40,897(1) D
Common Stock, par value $0.0001 per share 10/17/2025 F 10,000(2) D $7.23 30,897 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) $10.38 08/06/2025(3) A 12,000 07/14/2026 07/14/2035 Common Stock 12,000 $0 12,000 D
Explanation of Responses:
1. Includes (i) 25,000 restricted stock units granted on October 17, 2025, under TAO Synergies Inc.'s (the "Issuer") 2020 Equity Incentive Plan which vested immediately and (ii) 15,897 shares of common stock.
2. Represents shares withheld by the Issuer to satisfy the tax liability upon vesting of restricted stock units and does not constitute an actual sale or other open-market transaction.
3. The option grant was approved by a committee of the Issuer's board of directors on July 14, 2025 subject to shareholder approval of an amendment to the Company's 2020 Equity Incentive Plan (the "Plan") to increase the number of shares authorized for issuance of awards under the Plan. The Company received shareholder approval of the amendment to the Plan on August 6, 2025.
/s/ Robert Weinstein, Attorney-in-fact 10/17/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did TAOX report on this Form 4?

A director received 25,000 RSUs on October 17, 2025 that vested immediately at $0.00.

How many shares were withheld for taxes and at what price?

The issuer withheld 10,000 shares at a price of $7.23 to satisfy tax liabilities upon RSU vesting.

What is the director’s share ownership after the reported transactions?

Beneficial ownership stands at 30,897 shares after the transactions.

What stock option was reported and what are its terms?

An option for 12,000 shares at an exercise price of $10.38, exercisable on July 14, 2026 and expiring on July 14, 2035.

When was the option grant approved and what condition applied?

It was approved on July 14, 2025 subject to shareholder approval, which was obtained on August 6, 2025.

What does transaction code F indicate in the Form 4?

Code F indicates shares were withheld by the issuer to cover taxes, not an open‑market sale.

What is the reporting person’s relationship to TAO Synergies Inc. (TAOX)?

The reporting person is a Director of TAO Synergies Inc.