Welcome to our dedicated page for Captivision SEC filings (Ticker: CAPT), 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 Captivision Inc. (CAPT) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as a foreign private issuer listed on Nasdaq. Captivision files reports with the U.S. Securities and Exchange Commission on Form 20-F for annual reporting and Form 6-K for current information, reflecting its operations in media glass, LED display solutions, and its announced plans for a potential transition into diversified gold mining.
Recent Form 6-K filings include disclosures about auditor changes, such as the resignation of UHY, LLP as independent registered public accounting firm and the subsequent appointment of Marcum Asia CPAs LLP. These filings also discuss the identification of material misstatements in prior financial statements, expected material weaknesses in internal control over financial reporting, and the company’s efforts to complete restatements and audits. Other 6-Ks incorporate press releases regarding Nasdaq listing rule compliance, including extensions granted by a Nasdaq Hearings Panel to meet the Periodic Filing Rule and notices related to minimum bid price and market value of listed securities requirements.
For investors tracking Captivision’s proposed strategic shift, SEC filings and attached exhibits provide the formal record of its announcements about a letter of intent to acquire Montana Tunnels Mining, Inc. and the stated intention to reposition as Montana Gold Inc. (Nasdaq: MGI) upon completion of the transaction. These documents outline conditions, risks, and uncertainties associated with the planned acquisition and the planned discontinuation of legacy architectural media glass and LED businesses.
On Stock Titan, users can review Captivision’s 20-F annual reports, 6-K current reports, and related exhibits, alongside AI-powered summaries that explain key points in plain language. The filings page also surfaces information relevant to listing status, auditor relationships, internal control disclosures, and other regulatory topics that are central to understanding CAPT’s risk profile and corporate evolution.
Captivision Inc. chairman and CEO Gary R. Garrabrant filed an initial ownership report showing substantial equity and warrant positions. He directly holds 1,841,884 ordinary shares, including 800,000 shares of restricted stock granted on August 7, 2024 under the 2023 Incentive Award Plan. He also reports indirect ownership of additional ordinary shares through entities referenced in footnotes. In addition, he holds private warrants exercisable at $11.50 per share into 2,459,083 underlying ordinary shares directly and 30,325 underlying ordinary shares indirectly, all expiring on November 15, 2028.
Captivision Inc. director Lee Ho Joon filed an initial statement of beneficial ownership, detailing his current equity and derivative positions rather than new trades. He reports direct ownership of 42,213 ordinary shares.
He also holds options to acquire 32,032 ordinary shares at an exercise price of $4.84 per share, expiring on March 29, 2027, which were issued in connection with Captivision’s business combination. In addition, he has founder warrants linked to 711,747 ordinary shares with an exercise price of $11.50 per share, expiring on November 15, 2028.
Footnotes describe three restricted stock right grants of 666,666.67 units each, granted on March 2, 2023. Each restricted stock right represents a contingent right to receive one ordinary share and will vest only if specific share price performance targets of $12.00, $14.00, or $16.00 are met for twenty trading days within a thirty-day period during the earnout period from November 15, 2023 to November 15, 2026.
Captivision Inc. director Thomas Jessica has filed an initial Form 3, reporting ownership of 123,592 ordinary shares of the company. This filing establishes Jessica’s existing stake as a director and does not reflect a new purchase or sale of shares.
Captivision Inc. director Clark Richard reported his initial beneficial ownership in the company. He indirectly holds 292,903 ordinary shares and private warrants indirectly exercisable for 242,605 ordinary shares at an exercise price of $11.50 per share until November 15, 2028, all through Burnside II, LLC, which he solely owns.
Captivision Inc. director Craig M. Hatkoff filed an initial ownership report on Form 3. This filing confirms his status as a director of Captivision but does not list any stock purchases, sales, or other equity transactions, serving mainly as a baseline disclosure of insider status.
Captivision Inc. director Jureller John M filed an initial statement of beneficial ownership on Form 3. This filing establishes his status as a director and provides a baseline disclosure of any equity interests, but the excerpt does not show any reported transactions or derivative positions.
Captivision Inc. director Giwa Hafeez filed an initial ownership report showing a direct holding of 123,592 ordinary shares. This Form 3 does not report any new purchase or sale activity; it simply establishes Hafeez’s existing equity position in the company.
Captivision Inc. (CAPT) appointed a new auditor. On October 10, 2025, the company named Marcum Asia CPAs LLP as its independent registered public accounting firm.
The company states that during 2023, 2024, and the interim period before this engagement, it did not consult Marcum Asia on accounting principles, audit opinions, or related issues. It also reports no disagreements or reportable events under Regulation S‑K Item 304 tied to this appointment.
Highbridge Capital Management, LLC filed a Schedule 13G reporting beneficial ownership of 2,500,000 Ordinary Shares of Captivision Inc., representing 7.2% of the class on an as-exercised basis. The 2,500,000 shares are issuable upon exercise of warrants directly held by certain Highbridge funds and the percentage is calculated using 32,369,512 Ordinary Shares outstanding as of November 13, 2024, per the issuer's prospectus supplement.
The filing clarifies Highbridge is an investment adviser organized in Delaware and that Highbridge Tactical Credit Master Fund, L.P. has the right to receive dividends or sale proceeds relating to more than 5% of the reported shares. The statement includes the Reporting Person's New York business address and is signed by Kirk Rule as Executive Director.