Welcome to our dedicated page for TAO Synergies SEC filings (Ticker: TAOX), 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 TAO Synergies Inc. (Nasdaq: TAOX) SEC filings page on Stock Titan provides direct access to the company’s regulatory disclosures as it pursues a TAO-focused digital asset treasury strategy. As a Nasdaq-listed emerging growth company, TAO Synergies files annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and proxy statements on Schedule 14A, all of which give detail on its cryptocurrency and decentralized AI activities.
In its Form 8-K filings, TAO Synergies has reported material events such as private placements of Series E convertible preferred stock and warrants, use of proceeds for general corporate purposes and working capital, and changes in board composition and advisory relationships. These filings describe terms of preferred stock, dividend rights, conversion prices, warrant exercise prices, and related registration rights agreements, which are important for understanding potential dilution and capital structure as the company finances its TAO treasury strategy.
The company’s proxy materials, including a definitive proxy statement on Schedule 14A, outline proposals for stockholder approval, such as authorizing share issuances under Nasdaq Listing Rule 5635(d), amending the TAO Synergies Inc. 2020 Equity Incentive Plan, and ratifying its independent registered public accounting firm. Special meeting results reported on Form 8-K show how stockholders have voted on equity incentive plan amendments and share issuance authorizations linked to prior financings.
On Stock Titan, these filings are supplemented with AI-powered summaries that highlight key terms, voting outcomes, and structural changes without requiring investors to read every page. Users can quickly see how TAO Synergies structures its preferred stock and warrants, how equity incentive plans evolve, and how governance decisions align with its digital asset treasury focus. Real-time updates from EDGAR ensure that new 8-Ks, 10-Qs, 10-Ks, and proxy statements are available as they are filed, helping investors track regulatory developments around the TAOX ticker.
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.
TAO Synergies Inc. (TAOX) reported an insider equity award and related tax withholding. A director received 7,500 restricted stock units on October 17, 2025 that vested immediately at a stated price of $0.00 per share for reporting purposes. To cover taxes upon vesting, 3,000 shares were withheld by the issuer at $7.23 per share; this was not an open‑market sale.
Following these transactions, the insider directly owned 4,500 shares of common stock. No derivative securities were reported.
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.
TAO Synergies Inc. (TAOX) entered a financing agreement to raise gross proceeds of $11.0 million through a private placement of 11,000 shares of Series E convertible preferred stock with a stated value of $1,000 per share, alongside warrants. The preferred is initially convertible at $8.00 per share into up to 1,375,000 common shares, and investors also receive warrants to purchase up to 1,375,000 common shares at $8.00, expiring five years from issuance.
The preferred pays cash dividends at 7% per annum, increasing to 15% upon a Triggering Event, and votes with common stock based on stated value divided by the then‑applicable conversion price, with a floor tied to Nasdaq’s “Minimum Price.” Issuances are limited to 19.99% of outstanding common stock absent stockholder approval; the company plans a vote by December 31, 2025. Registration rights require filing a resale registration for 150% of the conversion and warrant shares, with liquidated damages for delays. GP Nurmenkari Inc. acts as placement agent, earning an 8% cash fee plus a $10,000 due diligence fee and placement agent warrants (4% of initial conversion shares).
The company expects to close on October 15, 2025, and use net proceeds for general corporate purposes and working capital. TAO also terminated a consulting agreement with Dr. Daniel L. Alkon on October 3, 2025, retaining potential incentive fee obligations for certain Bryostatin transactions for one year post‑termination, and appointed Bruce Bernstein as Vice‑Chairman of the Board effective October 1, 2025.
Robert Ephron, identified as a director of TAO Synergies Inc. (TAOX), submitted an initial Form 3 reporting that he does not beneficially own any securities of the issuer. The filing lists his address and confirms the Form 3 is filed by one reporting person. No non-derivative or derivative holdings are reported on the form.
TAO Synergies Inc. reported several governance and advisory changes. Two directors, Jonathan Schechter and Dr. Alan Tuchman, voluntarily resigned from the board and all board committees, with the company stating their departures were not due to any disagreement with its operations, policies or practices. Dr. Tuchman will continue to serve as Chief Medical Officer.
To fill the vacancies, the company appointed Robert Ephron to the board and to the audit, compensation, and nominating and corporate governance committees. Ephron, who has extensive advertising and sales experience at JK Polk Holdings, Paramount, and Viacom, waived his initial option grant under the non-employee director compensation policy.
TAO Synergies also engaged Joseph Jacks as an advisor to its digital asset treasury strategy and entered into a one-year consulting agreement with him. As part of this agreement, the company issued warrants exercisable for 100,000 shares of common stock at an exercise price of $8.40 per share, with a five-year expiration from the date of issuance.
TAO Synergies Inc. filed a Form S-8 registration statement to register an additional 2,000,000 shares of its common stock, par value $0.0001 per share, for issuance under the TAO Synergies Inc. 2020 Equity Incentive Plan. These additional shares were added to the plan’s authorized share pool through an amendment approved by the company’s stockholders on August 6, 2025. The filing incorporates by reference a prior Form S-8 registration statement related to the same plan and includes customary legal opinions, auditor consents, and a power of attorney authorizing designated officers to sign amendments.
Tao Synergies Inc. (TAOX) filed an S-3 shelf registration prospectus describing the securities it may offer, including common stock, preferred stock, debt securities, warrants, rights and units. The prospectus explains general terms that will be set in each prospectus supplement, such as pricing methods, interest and maturity terms for debt, warrant exercise mechanics, transfer restrictions around redemptions, trustee powers and events of default for debt securities. It discloses incorporation by reference to its Form 10-K for the year ended December 31, 2024 and subsequent 10-Qs and 8-Ks through August 14, 2025. The document also lists exhibits, legal and accounting consents and identifies signatories and officers who executed the filing.
TAO Synergies Inc. (TAOX) disclosed capital structure changes, contractual obligations, related-party compensation and valuation of recent securities in this Form 10-Q. At June 30, 2025 the company reported 2,504,911 shares of common stock outstanding (1,357,165 at 12/31/2024). Two preferred series carry liquidation preferences of $223,500 (plus $17,665 accrued dividends) and $5,500,000 (plus $16,806 accrued dividends). The company held cash and equivalents including approximately $13.5 million in a money market fund and U.S. Treasury bills and approximately $4.5 million in cryptocurrency (not FDIC insured).
The filing details license and royalty arrangements (milestone caps of up to $3.7M and other potential payments to Stanford and Mt. Sinai), related-party consulting and executive compensation arrangements including a new Executive Chairman agreement with enhanced severance and equity incentives, and recent preferred and warrant financings (Series C and Series D) with conversion features, full-ratchet price protections and installment redemptions beginning Sept 30, 2025. Fair values for warrants and derivatives were estimated using Black-Scholes with volatilities generally above 100% and material warrant fair values disclosed (e.g., Series C warrants ~$8.6M).
TAO Synergies Inc. stockholders approved an amendment and restatement of the 2020 Equity Incentive Plan, increasing the number of shares reserved for issuance by 2,000,000 to 2,675,000 shares. At the Special Meeting, holders of 567,847 shares, or approximately 35.23% of outstanding common stock, were present in person or by proxy, constituting a quorum.
Stockholders also authorized, for Nasdaq compliance, the issuance of common stock underlying convertible preferred stock and warrants issued under certain June 2025 agreements in an amount equal to or in excess of 20% of the Company’s common stock outstanding before those issuances. Final vote totals were: Proposal 1 — For 500,450, Against 66,872, Abstain 525; Proposal 2 — For 492,781, Against 73,988, Abstain 1,078; Proposal 3 — For 523,728, Against 42,865, Abstain 1,254. The Amended and Restated Equity Incentive Plan is filed as Exhibit 10.1.