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. director Thomas Folinsbee filed a Form 3 detailing his initial beneficial ownership in stock options on the company’s ordinary shares. The options are fully vested and exercisable as of the filing date.
Disclosed positions include options over 11,231 ordinary shares at an exercise price of $1.26 per share expiring on July 21, 2035, and options over 20,000 shares at $3.59 per share expiring on June 26, 2034. Additional fully vested options cover 11,231 shares at $2.67 per share expiring on June 18, 2034, and 11,231 shares at $1.93 per share expiring on April 14, 2033.
CASI Pharmaceuticals director Zeng Xuebo has filed a Form 3 disclosing existing stock option holdings. The filing lists three fully vested and exercisable options, each linked to 11,231 ordinary shares.
The options carry exercise prices of $1.26, $2.67, and $1.93 per share and expire on July 21, 2035, June 18, 2034, and April 14, 2033, respectively. No new share purchases or sales are reported; the form simply records current derivative positions.
CASI Pharmaceuticals, Inc. filed a Form 6-K announcing that it has terminated the role of its Global Chief Medical Officer, Dr. Alexander A. Zukiwski, without cause, effective April 20, 2026. The change is described as part of efforts to further streamline the company’s U.S. branches, personnel and related activities.
The company is seeking a new Global Chief Medical Officer to support its long-term business plan. In the interim, certain responsibilities previously handled by Dr. Zukiwski are being taken over by other team members, primarily by Dr. Junping Chen, the company’s China Chief Medical Officer.
CASI Pharmaceuticals, Inc. completed the fourth and final tranche of its US$20 million convertible note financing with ETP Global III Fund LP, a partnership controlled by Chairman Dr. Wei-Wu He. The latest note has a US$5 million principal amount, matures in 36 months, and bears 12% annual interest.
Both CASI and the purchaser can elect to convert the note into ordinary shares at a price based on the volume weighted average closing price over five trading days, subject to a US$1–US$2 per share conversion price range.
CASI Pharmaceuticals, Inc. General Counsel Wei R Gao filed a Form 3 reporting existing holdings of stock options on the company’s ordinary shares. The filing lists multiple options to buy shares at exercise prices of $1.93, $2.67, and $5.78 per share with expirations between 2031 and 2034. Footnotes state that these options are fully vested and exercisable as of the filing date, and some are performance-based options that become exercisable upon achieving a specified performance target.
CASI Pharmaceuticals, Inc., a clinical-stage biopharmaceutical company developing CID-103, an anti-CD38 monoclonal antibody for organ transplant rejection and autoimmune diseases, reported that its ordinary shares began trading on the OTCQB market under the ticker CASIF on April 14, 2026.
The information in this report is incorporated by reference into the company’s existing shelf registration statements on Form F-3, allowing it to be used in connection with those offerings. The report also reiterates standard forward-looking statement cautions under the U.S. Private Securities Litigation Reform Act of 1995.
CASI Pharmaceuticals, Inc. filed an initial ownership report showing that Global Controller Qian Kun holds several stock option awards on the company’s ordinary shares. The options cover different blocks of shares with exercise prices of $1.93, $2.67, and $5.78 per share and expire between 2032 and 2034. Footnotes state that the options are fully vested and exercisable as of the reporting date, and that some are performance based and become exercisable upon achievement of a performance target.
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.