Welcome to our dedicated page for Universe Pharmaceuticals SEC filings (Ticker: UPC), 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.
Universe Pharmaceuticals INC SEC filings document the disclosures of a Cayman Islands foreign private issuer operating a pharmaceutical production and distribution business in China. Form 6-K reports cover interim financial results, revenue and cost categories for company and third-party products, and current reports tied to governance and capital-structure matters.
The filing record also includes proxy materials and annual general meeting results, an equity incentive plan, and amendments related to ordinary-share structure, including Class A and Class B ordinary shares and authorized share capital. These filings describe shareholder voting matters, board and compensation arrangements, share-based awards and formal corporate actions affecting UPC securities.
Universe Pharmaceuticals INC has confirmed that all conditions for its dual-class share structure have been met and that the structure will become effective on the Nasdaq Capital Market on February 13, 2026. From that date, its Class A ordinary shares will continue trading under the symbol “UPC” with the same CUSIP.
The company amended and restated its memorandum and articles of association, changing its authorized share capital to US$20,000 divided into 1,800,000,000 Class A ordinary shares and 200,000,000 Class B ordinary shares, each with a par value of US$0.00001. This formalizes a new capital and voting structure while leaving the trading symbol and market listing unchanged.
Universe Pharmaceuticals INC, a Cayman Islands holding company with operations in China, files its annual report for the year ended September 30, 2025. The company reports revenues declining from $32,308,735 in 2023 to $23,024,458 in 2024 and $17,858,732 in 2025, with net losses of $6,581,024, $8,727,298, and $3,672,055, leading to an accumulated deficit of $13,843,623. As of September 30, 2025, it has 563,338 ordinary shares outstanding and relies heavily on short-term bank financing, with $9,256,919 of debt due within one year and additional capital expenditure commitments for new factories and an office project now delayed to June 30, 2028. The report highlights significant risks from PRC regulation, data and cybersecurity rules, foreign listing oversight, cash-transfer and dividend constraints, as well as potential Nasdaq delisting and HFCAA-related trading risks, while noting that no dividends have been paid and future earnings are expected to be retained.
Universe Pharmaceuticals INC reported that Sabby Volatility Warrant Master Fund, Ltd., Sabby Management, LLC, and Hal Mintz together beneficially own 28,111 ordinary shares, representing 4.9% of the company’s ordinary shares as of the event date. All three reporting persons have no sole voting or dispositive power over these shares, but share voting and dispositive power for the full 28,111 shares. They certify that the securities were acquired and are held on a passive basis, not for the purpose of changing or influencing control of Universe Pharmaceuticals.
Universe Pharmaceuticals Inc. reported the results of shareholder votes on corporate proposals. Five directors — Gang Lai, Lin Yang, Jiawen Pang, Ding Zheng and Yongping Yu — were re-elected, each receiving strong majority support, with two directors above 94.2% and the others ranging around 89.6%-89.9%. A special resolution to adopt an amended and restated memorandum and articles of association (the A&R M&A) following a proposed Capital Reorganisation received 74.74% support. An ordinary resolution to adjourn the meeting if needed received 77.79% support. The report lists vote percentages for each proposal, showing broadly high director support and a lower but positive vote for the A&R M&A.
Universe Pharmaceuticals INC reported that its 2025 annual general meeting of shareholders, originally convened on August 26, 2025, could not proceed because there were not enough shares represented to meet the required quorum. As a result, the meeting was formally adjourned to September 2, 2025 at 10:00 a.m. Beijing time.
The rescheduled meeting will take place at the company’s principal office at 265 Jingjiu Avenue in the Jinggangshan Economic and Technological Development Zone in Ji’an City, Jiangxi, China. The notice confirms that the company’s chief executive officer, Gang Lai, authorized this report.