Welcome to our dedicated page for Alaunos Therapeutics SEC filings (Ticker: TCRT), 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.
Alaunos Therapeutics, Inc. (TCRT) filings document an early-stage biotechnology issuer with a developing small-molecule program, a legacy TCR-T oncology platform and a public-company capital structure. Form 8-K reports cover ALN1003 preclinical disclosures, material agreements, settlement matters, Nasdaq continued-listing notices, governance changes, director and officer transitions, and modifications to stockholder rights.
Registration statements, annual meeting reports and periodic-report references describe securities offerings, authorized common stock, stockholder voting results, operating and financial results, risk factors, and stockholders' equity used in Nasdaq compliance determinations.
Director Jaime Vieser of Alaunos Therapeutics (TCRT) reported the acquisition of derivative securities in a Form 4 filing. On June 24, 2025, Vieser purchased 250 shares of Series A-2 Convertible Preferred Stock at $4.49 per share.
Key transaction details:
- The preferred stock is convertible to 55,679.29 shares of common stock
- The securities are held in direct ownership
- The preferred stock is perpetual with no expiration date
- Transaction code 'P' indicates an open market purchase
This insider purchase by a director could signal confidence in the company's future prospects. The convertible preferred stock provides potential upside exposure to common stock while offering preferred stockholder benefits.
Insider Trading Activity Report for Alaunos Therapeutics (TCRT) reveals significant transactions by Director Robert W. Postma. On June 24, 2025, Postma acquired 600 shares of Series A-2 Convertible Preferred Stock at $4.49 per share through WaterMill Asset Management Corp, convertible to 133,630.29 common shares.
Key holdings and transactions include:
- Direct ownership of 29,083 common shares, including recent acquisition of 20,804 shares at $2.92
- Indirect ownership through WaterMill Asset Management Corp of 33,333 common shares
- 500 Series A-1 Preferred Stock (convertible to 181,159 common shares) at $2.76
- Employee Stock Option for 3,737 shares at $10.30, vesting monthly through 2025
Notable ownership restrictions include a 4.99% beneficial ownership limit on converted preferred shares. The filing indicates continued insider investment in the company with diversified security types.
Alaunos Therapeutics (Nasdaq:TCRT) filed an 8-K disclosing a registered direct offering that closed on June 24 2025. The company sold 338,725 common shares at $3.36 and 271,674 pre-funded warrants at $3.359, generating gross proceeds of roughly $2.1 million before fees. Proceeds are earmarked for general corporate purposes, including capital expenditures and working capital. The Securities Purchase Agreement (Ex. 10.1) contains customary covenants; a legal opinion (Ex. 5.1) and a press release (Ex. 99.1) are also included. No other material operational changes were reported.
Alaunos Therapeutics (Nasdaq:TCRT) filed an 8-K reporting a private placement of 850 shares of Series A-2 Convertible Preferred Stock at $1,000 each, raising $850,000.
- Preferred shares carry a 10% annual dividend, payable in additional Series A-2 stock.
- Convertible into common at a fixed $4.49 price, with standard anti-dilution adjustments.
- Holders vote with common stock on an as-converted 1:1 basis.
- 1,000 shares authorized via a new Certificate of Designation; issuance closed on June 24 2025.
- Securities were sold under Rule 506(b); they are unregistered and subject to resale restrictions.
Items 1.01, 3.02, 3.03 and 5.03 disclose the agreement, equity issuance and charter amendment, all of which modify existing shareholder rights.