Welcome to our dedicated page for Casi Pharmaceuticals SEC filings (Ticker: CASI), 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 CASI Pharmaceuticals, Inc. (NASDAQ: CASI) SEC filings page on Stock Titan brings together the company’s regulatory disclosures as a foreign private issuer, including its Form 6-K current reports and other Exchange Act filings. CASI files on Form 20-F and supplements those annual reports with multiple Form 6-K submissions that incorporate press releases and transaction updates by reference into its registration statements on Form F-3.
Through these filings, CASI provides details on its status as a clinical-stage biopharmaceutical company focused on developing CID-103, an anti-CD38 monoclonal antibody for organ transplant rejection and autoimmune diseases. Investors can use the filings to track information on CID-103 clinical programs in immune thrombocytopenia (ITP) and renal allograft antibody-mediated rejection (AMR), including FDA IND clearances, Chinese CTA approvals, and descriptions of Phase 1 and Phase 1/2 study designs.
CASI’s Form 6-K reports also disclose capital structure and financing transactions, such as the US$20 million convertible note purchase agreement with ETP Global III Fund LP and the closing of individual note tranches, along with key terms like maturity, interest rate, and conversion price ranges. Financial statements furnished in quarterly updates outline revenues, costs, operating expenses, net loss, and balance sheet data, providing context on the company’s recurring operating losses and going concern disclosures.
In addition, the filings describe Nasdaq listing compliance issues, including notices of non-compliance with the market value of listed securities requirement, a delisting determination, CASI’s appeal, and an extension granted by a Nasdaq Hearings Panel to regain compliance. Other 6-Ks address regulatory developments in China, such as the expiration of the Import Drug Registration License for FOLOTYN and the resulting cessation of FOLOTYN sales in that market.
On Stock Titan, CASI’s SEC filings are updated from EDGAR and can be paired with AI-powered summaries that highlight the main points of each document, helping users quickly understand clinical, financial, and listing-related disclosures without reading every line of the underlying forms.
CASI Pharmaceuticals, Inc. executive Huang Hai, the Global Chief Commercial Officer, reported existing holdings of stock options on Ordinary Shares. The filing lists several option awards with exercise prices of $6.61 and $2.67 per share, expiring in 2034. Some options are fully vested and exercisable as of the form date, while certain performance-based options become exercisable only upon achievement of specified performance targets.
CASI Pharmaceuticals, Inc. Chief Operating Officer Wang Chunhua filed an initial ownership report detailing existing option holdings in CASI ordinary shares. The filing lists multiple options to buy shares at exercise prices of $1.93, $2.67 and $5.78, with expirations ranging from 2028 through 2034.
According to a footnote, all of these options are fully vested and exercisable as of the date of the form, meaning they can already be converted into ordinary shares subject to their terms. The report reflects holdings rather than new purchases or sales.
CASI Pharmaceuticals, Inc. executive Alexander A. Zukiwski, Global Chief Medical Officer, reported his derivative holdings on a Form 3. He holds fully vested stock options giving him the right to buy a total of 116,333 Ordinary Shares at an exercise price of $1.93 per share, with each option grant expiring on April 20, 2027. The footnote states that all of these options are fully vested and exercisable as of the date of the form, meaning he can choose to convert any or all of them into shares at the stated price.
CASI Pharmaceuticals director Barbara Helene Hannelore Krebs-Pohl filed an initial Form 3 reporting existing stock option holdings. She holds two fully vested options, each covering 10,000 ordinary shares, with exercise prices of $6.41 and $2.31 per share and expirations in 2034 and 2035, all owned directly. The footnote states these options are fully vested and exercisable as of the Form 3 date, and no buy or sell transactions are reported.
CASI Pharmaceuticals, Inc. director Alex Wu filed an initial ownership report showing equity interests in the company. The filing lists several fully vested stock options to buy Ordinary Shares, including grants covering 11,045, 38,838 and 11,753 underlying shares at an exercise price of $1.93 per share, plus additional options at $2.67, $3.59 and $1.26 per share. Wu also reports direct ownership of 34,168 Ordinary Shares. A footnote states that all of the reported options are fully vested and exercisable as of the date of this form, meaning they can be converted into Ordinary Shares at the stated exercise prices through their respective expiration dates in 2031 through 2035.
CASI Pharmaceuticals’ major holder Wei-Wu He filed Amendment No. 14 to update his beneficial ownership to 18,985,535 ordinary shares, or 53.0% of the class. This percentage is based on 20,555,873 ordinary shares outstanding as of March 20, 2026.
The amendment reflects that ETP Global III Fund L.P., an affiliated fund, purchased a new US$5 million convertible note on February 19, 2026 as the third tranche of a US$20 million convertible note financing. The note may be converted into ordinary shares from the 91st day after issuance until maturity at a price equal to the five-day volume-weighted average closing price, but not above US$2 or below US$1 per share. For reporting purposes, the filing assumes a US$1 conversion price, given an average share price of US$0.15 over the last five trading days, and includes shares that can be acquired within 60 days.
CASI Pharmaceuticals director and over-10% holder Dr. Wei-Wu He has filed a Form 3 reporting his existing stakes in the company. He reports direct ownership of 1,910,550 Ordinary Shares and several option awards to buy additional Ordinary Shares at an exercise price of $1.93 with expirations between 2031 and 2033.
He also reports multiple indirect holdings of Ordinary Shares through entities such as Emerging Technology Partners, ETP funds, HE Family GRAT and the Huiying Memorial Foundation, and specifically disclaims beneficial ownership of shares held by the Foundation.
CASI Pharmaceuticals director James Huang filed a Form 3 reporting his initial ownership position. The filing lists three fully vested stock option awards over CASI ordinary shares: options over 10,000 shares at an exercise price of $1.69 expiring on October 1, 2035, 10,000 shares at $2.69 expiring on May 1, 2033, and 101,571 shares at $1.93 expiring on March 20, 2026. It also reports indirect ownership of 4,529,956 ordinary shares held by Panacea Venture Healthcare Fund II, L.P., an entity associated with Huang. He may be deemed to share beneficial ownership of these shares but explicitly disclaims such beneficial ownership.
CASI Pharmaceuticals, Inc. reported a leadership change, announcing that Chief Executive Officer and director David Cory has resigned from both roles, effective March 31, 2026. The company describes itself as a clinical-stage biopharmaceutical firm developing CID-103, an anti-CD38 monoclonal antibody for organ transplant rejection and autoimmune diseases.
Executive chairman Dr. Wei-Wu He will assume the role of the company’s principal executive officer, concentrating senior leadership responsibilities. The report also reiterates that statements about strategy and plans are forward-looking and subject to risks described in the company’s SEC filings.
CASI Pharmaceuticals reports that a Nasdaq Hearings Panel has decided to delist its securities because the company failed to meet continued listing conditions. Trading on Nasdaq will be suspended at the open on February 26, 2026, after which the securities will be delisted following completion of the applicable process.
The company does not plan to seek further review of the decision. CASI expects its ordinary shares to be quoted on an over-the-counter market operated by OTC Markets Group, although there is no guarantee that brokers will continue to make a market or that OTC trading will continue. CASI states that the Nasdaq delisting will have no significant impact on its operations, and it continues developing its lead antibody candidate CID-103 in multiple clinical programs.