Welcome to our dedicated page for UPEXI SEC filings (Ticker: UPXI), 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.
Upexi, Inc. filings document the regulatory record of a public company operating a Solana-focused digital asset treasury alongside a consumer brands business. The disclosures address treasury strategy, consumer products operations, financial reporting, capital-structure matters, and material events reported on Form 8-K.
The company’s SEC materials include definitive proxy disclosures on director elections, corporate governance, board committees, executive compensation, beneficial ownership, and auditor ratification. Other filings cover earnings communications, investor-event disclosures, material agreements, share-related capital actions, and risk and governance subjects tied to Upexi’s digital asset and consumer products activities.
Upexi, Inc. (UPXI) amended its credit facility with BitGo Prime, cutting the interest rate on outstanding borrowings from 11.5% to 7.5% per year and reducing the required collateral level to 200%, with a margin call level of 150%.
Based on current borrowings, the company expects to save over $2 million per year in interest costs and gain more flexibility from the lower collateral requirement, which management characterizes as part of efforts to reduce expenses and strengthen the balance sheet. Upexi describes itself as a digital asset treasury company focused on accumulating Solana and currently holds over two million SOL, alongside its consumer brands business.
Upexi, Inc. (UPXI) announced that Chief Strategy Officer Brian Rudick will attend the FT Partners FinTech Conference 2026 in New York on September 15, 2026, for investor meetings. The event provides a venue for discussions with current and prospective investors about the company’s strategy.
Upexi describes itself as a leading digital asset treasury company focused on Solana (SOL), aiming to acquire and hold SOL in a disciplined and accretive manner. The company currently holds over two million SOL and seeks value through intelligent capital issuance, staking, and discounted locked token purchases, while operating in what it characterizes as a risk-prudent fashion. Upexi also continues to own and operate consumer brands involved in developing, manufacturing, and distributing consumer products.
Upexi, Inc. received an amended Schedule 13G showing that Hivemind Capital Partners, LLC and related entities report beneficial ownership of 8,928,365 shares of Common Stock, equal to 9.99% of the class. All reported shares are held with shared voting and dispositive power; no shares are held with sole power.
The position described for the Hivemind entities includes 5,260,000 shares of Common Stock, 6,992,300 shares issuable upon exercise of pre-funded warrants, and 6,870,019 shares issuable upon conversion of a Secured Convertible Note due January 9, 2028, based on $16,419,340.46 of outstanding principal at a $2.39 per share conversion price. Both the pre-funded warrants and the note are subject to a 9.99% beneficial ownership limitation. Ownership percentages are calculated using 85,694,658 shares outstanding as of July 16, 2026.
Upexi, Inc. has a significant institutional holder, with entities affiliated with Hivemind Capital Partners reporting beneficial ownership of 6,841,923 shares of common stock, equal to 9.99% of the class. This position consists of 10,000 shares of common stock plus 6,831,923 shares issuable upon conversion of a secured convertible note with an approximate principal of $36.0 million.
The note is subject to a 9.99% beneficial ownership limitation, preventing conversion above that level when combined with affiliates and group members. The reported ownership percentage is based on 66,895,799 shares outstanding as referenced in Upexi’s Form 10-Q. Voting and dispositive power over the 6,841,923 shares is reported as shared among the Hivemind entities and Yechuan Zhang.
Upexi, Inc. reported that on July 30, 2026 it received a notification from Nasdaq that its common stock no longer meets the Nasdaq Listing Rule 5550(a)(2) minimum bid price requirement of $1.00 per share, after trading below that level for 30 consecutive business days from June 16 through July 29, 2026.
The notice does not immediately remove the stock from Nasdaq. Upexi has an initial 180-day compliance period, until January 26, 2027, during which its closing bid must be at least $1.00 for at least ten consecutive business days, or longer if Nasdaq so requires. The company is monitoring its share price and evaluating alternatives, including a possible reverse stock split, but there is no assurance it will regain or maintain Nasdaq listing compliance.
Vanguard Capital Management LLC, together with certain affiliates, reports beneficial ownership of Upexi Inc common stock. The group holds 2,739,596 shares, representing 3.89% of the class, and therefore reports ownership of 5 percent or less of the outstanding shares. Vanguard has sole voting power over 329,876 shares and sole dispositive power over all 2,739,596 shares, with no shared voting or dispositive power. The position includes securities held by Vanguard funds and client accounts over which Vanguard entities exercise voting and/or dispositive authority, while securities beneficially owned by other disaggregated Vanguard affiliates are excluded.
Upexi, Inc. received an amended Schedule 13G/A from a group of former large shareholders indicating they have each fallen below the 5% beneficial ownership threshold of its common stock. The filing covers GSR Growth Investments LP, GSR Growth Investments GP Ltd., GSR Strategies LLC, GSR USA Intermediate LLC, CNC Inversiones Ltd., Carlos Cristian Gil, and Nadia Gil, and is characterized as an exit filing for these entities.
Based on 70,261,828 shares of common stock outstanding as of May 11, 2026, GSR Growth Investments LP and its general partner each report 705,882 shares, or 0.9947% of the class, primarily through shares redeemable upon exercise of convertible notes. GSR Strategies LLC and GSR USA Intermediate LLC each report 54,824 shares, or 0.078%, issuable upon exercise of warrants. CNC Inversiones Ltd., Carlos Cristian Gil, and Nadia Gil each report 2,185,965 shares, or 3.11%, with voting and dispositive power shared among related parties.
Salkind Gene reported acquisition or exercise transactions in this Form 4 filing.
Upexi, Inc. director Gene Salkind received a grant of 100,000 shares of restricted common stock under the company’s 2019 Incentive Stock Plan, as amended. The award vests in four equal quarterly installments, with full vesting on July 1, 2027, subject to continued service. After this grant, Salkind directly holds 318,750 common shares.
Dugan Lawrence reported acquisition or exercise transactions in this Form 4 filing.
Upexi, Inc. director Dugan Lawrence received a grant of 100,000 shares of restricted common stock as equity compensation. The award was issued under the company’s 2019 Incentive Stock Plan and vests in four equal quarterly installments, with full vesting on July 1, 2027, subject to continued service. Following this grant, Lawrence directly holds 216,389 Upexi common shares.
Upexi, Inc. reported an equity compensation grant to Chief Strategy Officer Brian Benjamin Rudick. He acquired 400,000 shares of common stock as restricted stock under the 2019 Incentive Stock Plan, bringing his direct holdings to 1,238,597 shares. The award vests in four equal installments between October 1, 2026 and July 1, 2027, subject to continued service.