Lakewood-Amedex SEC Filings

Lakewood-Amedex Biotherapeutics Inc. director Tucker Joseph Edward filed an initial Form 3 reporting his beneficial ownership in the company. The filing lists his direct holdings of common stock at 0 shares following the reporting date, and shows no reported purchases, sales, or option exercises.

Lakewood-Amedex Biotherapeutics Inc. director Leonard James DeRoma filed an initial Form 3 showing his existing stake in the company. He reports direct ownership of 187,736 shares of common stock.

DeRoma also holds several series of warrants to acquire common stock at exercise prices ranging from $2.13 to $5.92 per share, with expiration dates between 2028 and 2032. The filing reflects current holdings rather than new purchases or sales.

Lakewood-Amedex Biotherapeutics Inc. Chief Medical Officer Thomas Balzer filed an initial ownership report describing his equity stake in the company. He directly holds 255,322 shares of common stock.

He also holds several stock options: rights to buy 168,919 shares of common stock at an exercise price of $2.31 per share expiring on July 1, 2035, and options to buy 46,115, 33,784, and 50,676 shares at an exercise price of $2.13 per share, expiring on March 13, 2034, March 1, 2033, and November 13, 2032, respectively. The filing records these positions as holdings rather than new purchases or sales.

Lakewood-Amedex Biotherapeutics Inc. director and CEO Kelvin Cooper has filed an initial Form 3 detailing his holdings in LABT. He directly holds 300,594 shares of common stock. He also holds several stock options to buy common shares at exercise prices between $2.13 and $2.78 per share, with expiration dates ranging from 2031 to 2035.

Lakewood-Amedex Biotherapeutics Inc. Chief Financial Officer Peter Ceccacci filed an initial ownership report showing his equity position in the company. He directly holds 468,148 shares of common stock.

He also holds several direct stock options on common shares, including 202,703 underlying shares at an exercise price of $2.31 per share expiring in 2035, and additional options at exercise prices of $2.13 and $2.78 per share with expirations between 2031 and 2034. The filing records holdings only and does not show new purchases or sales.

Lakewood-Amedex Biotherapeutics Inc. has filed a Form S-1 covering the resale of up to 9,647,726 shares of common stock. This includes 9,375,000 shares issuable upon conversion of Series C Preferred Stock sold in a January 2026 private placement and 272,726 shares issued to RBW Capital Partners LLC as advisory compensation. The company will not receive proceeds from these resales, though it previously raised $7.5 million via the Series C financing and short-term notes.

Lakewood-Amedex is a clinical-stage biotechnology company developing Bisphosphocin antimicrobial candidates, led by Nu-3 gel for mildly infected diabetic foot ulcers, and early-stage programs for urinary tract and pulmonary infections. For 2025, the company reported no revenue, a net loss of $3.85 million, cash of $236,400, total assets of $481,598, liabilities of $2.45 million, and a stockholders’ deficit of $1.96 million, with its auditors expressing substantial doubt about its ability to continue as a going concern. It qualifies as an emerging growth and smaller reporting company, using scaled disclosure and extended accounting transition relief.

Lakewood-Amedex Biotherapeutics appointed Dr. Joseph Tucker to its Board effective April 24, 2026. He will serve until the 2027 annual meeting. The Board agreement requires attendance at two to four meetings per year and reimbursement of pre-approved travel and living expenses.

Dr. Tucker will receive $6,000 per quarter payable in common stock and was granted 33,784 warrants exercisable at $10.00 per share for ten years. The warrants vest in four equal tranches on October 24, 2026, April 24, 2027, October 24, 2027, and April 24, 2028; unvested warrants are cancelled if the Company terminates the agreement.

Lakewood-Amedex Biotherapeutics Inc. appointed Joseph Tucker, Ph.D., a veteran biotechnology executive and current CEO of Enveric Biosciences, to its Board of Directors effective April 24, 2026. He will serve until the company’s 2027 annual meeting of stockholders, and will also join the Finance, Audit and Risk, Compensation, and Corporate Governance and Nominating Committees.

Under a board agreement, Dr. Tucker will attend at least two and up to four board meetings per year and be available for ad-hoc consultations. He will receive $6,000 per quarter in common stock and has been granted 33,784 warrants to purchase common stock at $10.00 per share, vesting in four equal tranches between October 2026 and April 2028 with a 10‑year term. The company highlights his experience raising over $100 million, leading public biotech companies, and executing IPOs, mergers, and acquisitions.

Lakewood-Amedex Biotherapeutics Inc. filed a prospectus registering the resale of up to 4,689,177 shares of common stock by identified stockholders in connection with a planned direct listing on the Nasdaq Capital Market. The resale is a secondary offering by existing holders; the Company will not receive proceeds from those resale transactions. The company has a binding private placement to sell 937,500 Series C Preferred Shares for aggregate gross proceeds of $7,500,000, convertible into Common Stock under specified pricing terms. The firm engaged RBW Capital Partners as financial advisor; RBW is expected to receive 272,219 advisory shares (1.75% of fully diluted shares) as compensation, which are not registered in this offering. The prospectus discloses recent short-term notes of $125,000 aggregate and summarizes 2025 net loss of $(3,847,637) with cash of $236,400 as of December 31, 2025.