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TAOX Form 4: 15,000 RSUs vested, 6,000 shares tax withheld

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

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider Singer William S.
Role Director
Type Security Shares Price Value
Grant/Award Common Stock, par value $0.0001 per share 15,000 $0.00 --
Tax Withholding Common Stock, par value $0.0001 per share 6,000 $7.23 $43K
Grant/Award Employee Stock Option (right to buy) 7,000 $0.00 --
Holdings After Transaction: Common Stock, par value $0.0001 per share — 25,566 shares (Direct); Employee Stock Option (right to buy) — 7,000 shares (Direct)
Footnotes (1)
  1. Includes (i) 15,000 restricted stock units granted on October 17, 2025, under TAO Synergies Inc.'s (the "Issuer") 2020 Equity Incentive Plan which vested immediately and (ii) 10,566 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*
Singer William S.
(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 15,000 A $0.00 25,566(1) D
Common Stock, par value $0.0001 per share 10/17/2025 F 6,000(2) D $7.23 19,566 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 7,000 07/14/2026 07/14/2035 Common Stock 7,000 $0 7,000 D
Explanation of Responses:
1. Includes (i) 15,000 restricted stock units granted on October 17, 2025, under TAO Synergies Inc.'s (the "Issuer") 2020 Equity Incentive Plan which vested immediately and (ii) 10,566 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 did TAO Synergies (TAOX) disclose in this Form 4?

A director received 15,000 RSUs that vested immediately and had 6,000 shares withheld at $7.23 for taxes, with post-transaction ownership of 19,566 shares.

Were any open-market sales reported for TAOX in this filing?

No. The 6,000 shares were withheld to satisfy tax obligations upon RSU vesting and are not an open-market sale.

What stock options were reported for TAOX?

An option covering 7,000 shares at $10.38 per share, exercisable starting July 14, 2026 and expiring July 14, 2035.

When were the RSUs granted and when did they vest for TAOX?

The 15,000 RSUs were granted on October 17, 2025 and vested immediately.

What is the reporting person’s ownership in TAOX after the transactions?

The director beneficially owned 19,566 shares directly after the reported transactions.

Was shareholder approval involved in the TAOX option grant?

Yes. The board committee approved the grant on July 14, 2025, subject to plan amendment approval received on August 6, 2025.