Market Movers (8-K)
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Valion Bio, Inc. announced a material definitive agreement for Series B Preferred Stock purchase, appointed a new COO, and disclosed preliminary results for a reverse stock split proposal.
Capital raise
NASDAQ
Valion Bio reports progress in its Entolimod program, focusing on biodefense preparedness, domestic manufacturing scale-up, and oncology expansion.
NASDAQ
Valion Bio, Inc. announced the issuance of Series B Preferred Shares and warrants to 3i, LP for $250,000, as part of a larger potential financing.
Capital raise
NASDAQ
Valion Bio, Inc. announced that its stockholders approved an amendment to its 2021 Equity Incentive Plan, increasing the authorized shares by over 2.5 million.
Capital raise
NASDAQ
Valion Bio (formerly Tivic Health) reported first quarter 2026 financial results, highlighting progress in its Entolimod platform, government engagement, and integration of Velocity Bioworks.
Capital raise
NASDAQ
Valion Bio, Inc. announced the appointment of Melinda Lackey as General Counsel and Senior Vice President of Legal Affairs, bringing extensive biopharmaceutical legal experience to the company.
Capital raise
Quarterly Earnings (10-Q)
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Valion Bio, Inc. (VBIO) reported substantial net losses and ongoing going concern uncertainties in its Q2 2026 Form 10-Q, while also addressing Nasdaq's minimum bid price non-compliance.
Worse than expected
Capital raise
NASDAQ
Valion Bio reports Q1 2026 financial results, highlighting its transition to a biopharmaceutical company and the expansion of its CDMO operations in San Antonio.
Worse than expected
Capital raise
NASDAQ
Tivic Health Systems, Inc. reported increased net losses and negative cash flow for Q3 2025, accelerating its pivot from consumer health to biopharmaceutical development while facing going concern doubts and manufacturing delays.
Worse than expected
Delay expected
Capital raise
NASDAQ
Tivic Health Systems reports a decrease in revenue for Q2 2025 due to reduced advertising spend, shifting focus to biopharma programs.
Worse than expected
Capital raise
NASDAQ
Tivic Health Systems reports a decrease in revenue for Q1 2025, shifting focus to biopharma and bioelectronic development with strategic acquisitions and financing activities.
Worse than expected
Capital raise
NASDAQ
Tivic Health Systems reported a decrease in revenue for the third quarter of 2024 compared to the same period last year, while also highlighting progress in their vagus nerve stimulation research and cost reduction efforts.
Worse than expected
Capital raise
Annual Reports (10-K)
NASDAQ
Tivic Health Systems, Inc. completed a strategic transformation in 2025, shifting from bioelectronic devices to a biopharmaceutical focus on its TLR5 agonist program Entolimod, while reporting significant losses and raising substantial doubt about its ability to continue as a going concern.
Worse than expected
Capital raise
NASDAQ
Tivic Health Systems' 2024 10-K filing details a year of strategic shifts, including a focus on bioelectronic medicine and the acquisition of a late-stage biopharmaceutical asset, alongside financial challenges and efforts to ensure future growth.
Capital raise
Worse than expected
NASDAQ
Tivic Health Systems' 2023 annual report highlights a year of strategic investments in product development and distribution, alongside financial challenges and a focus on bioelectronic medicine.
Worse than expected
Capital raise
Insider Trading (Form 4)
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Valion Bio, Inc. reports insider transactions involving Chief Financial Officer Lisa G. Wolf acquiring 92 shares of common stock.
NASDAQ
Valion Bio CEO Michael Handley acquired 2,206 shares of common stock through the vesting of restricted stock units.
NASDAQ
Melinda Lackey, General Counsel & SVP of Legal at Valion Bio, Inc., reported the acquisition of employee stock options.
NASDAQ
Director Sheryle Bolton purchased 10,000 shares of Tivic Health Systems, Inc. (TIVC) at a price of $1.04 per share.
NASDAQ
Director Christina Rizopoulos Valauri purchased 19,000 shares of Tivic Health Systems, Inc. common stock at $0.9478 per share.
NASDAQ
Tivic Health Systems' Chief Financial Officer, Lisa G. Wolf, acquired 92 shares of common stock through the vesting of Restricted Stock Units.
Proxy Statements (Def-14A)
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Valion Bio, Inc. is holding a special meeting on August 14, 2026, to seek stockholder approval for a reverse stock split aimed at maintaining its Nasdaq listing.
NASDAQ
Valion Bio, Inc. has issued its definitive proxy statement detailing proposals for its 2026 Annual Meeting of Stockholders, including director elections, equity plan amendments, and ratification of its accounting firm.
Capital raise
NASDAQ
Tivic Health Systems, Inc. calls a special meeting to approve significant common stock issuances tied to convertible preferred stock, a secured note, and warrants, crucial for future funding and a recent acquisition.
Capital raise
NASDAQ
Tivic Health Systems, Inc. is calling its stockholders to a virtual annual meeting on June 30, 2025, to vote on critical proposals including a significant increase in its equity incentive plan, and the issuance of common stock tied to recent strategic license agreements and substantial capital funding initiatives.
Delay expected
Capital raise
NASDAQ
DEF: Tivic Health Systems Seeks Stockholder Approval for Reverse Stock Split to Maintain Nasdaq Listing
Tivic Health Systems is asking stockholders to approve a reverse stock split to regain compliance with Nasdaq's minimum bid price requirement.
Worse than expected
Delay expected
NASDAQ
Tivic Health Systems has filed a definitive proxy statement with the SEC, signaling preparations for an upcoming shareholder meeting.
New Public Companies (S-1)
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Valion Bio, Inc. has filed an S-1 registration statement detailing its offering of common stock and warrants, aiming to raise capital for R&D and general corporate purposes.
Capital raise
NASDAQ
Tivic Health Systems, Inc. has filed an S-1 registration statement to allow for the resale of up to 956,222 shares of its common stock by Tumim Stone Capital, LLC.
Capital raise
NASDAQ
Tivic Health Systems, Inc. filed an amended registration statement to allow a selling stockholder, Helena Global Investment Opportunities 1 Ltd., to resell up to 602,245 shares of common stock, stemming from a recent $8.4 million preferred stock and warrant purchase agreement.
Delay expected
Worse than expected
Capital raise
NASDAQ
Tivic Health Systems, Inc. has filed an S-1 registration statement to facilitate the resale of up to 8.4 million common shares by a selling stockholder, while simultaneously detailing a new financing agreement that could provide the company with up to $8.4 million in proceeds, despite an auditor's 'going concern' warning.
Delay expected
Worse than expected
Capital raise
NASDAQ
Tivic Health Systems is registering for the resale of up to 292,523 shares of its common stock by Mast Hill Fund, potentially generating up to $25 million for the company through a purchase agreement.
Capital raise
NASDAQ
Tivic Health Systems aims to raise up to $7 million through a unit offering of common stock, warrants, and pre-funded warrants to support working capital and corporate purposes.
Capital raise
Schedule 13D - Activist Investments
NASDAQ
An amendment to a Schedule 13D filing reveals substantial stock sales by 3i, LP and Tumim Stone Capital, LLC, significantly reducing their beneficial ownership in Valion Bio, Inc.
Worse than expected
NASDAQ
Valion Bio, Inc. is undergoing a significant leadership transition and potential capital infusion from 3i, involving the termination of its CEO and changes to its Board of Directors.
Worse than expected
Capital raise
NASDAQ
3i, LP, a significant shareholder in Valion Bio, Inc., has formally demanded the immediate removal of CEO Michael Handley, citing sustained mismanagement and destruction of shareholder value.
Worse than expected
Capital raise
Schedule 13G - Passive Investments
NASDAQ
Murchinson Ltd. and its affiliated entities have reported beneficial ownership of 9.99% of Valion Bio, Inc.'s common stock, primarily through Series C preferred stock conversion rights.
NASDAQ
3i, LP and associated entities have filed an amendment to their Schedule 13G, disclosing a 9.9% beneficial ownership stake in Valion Bio, Inc.
Capital raise
NASDAQ
A group of investors, including 3i, LP and Tumim Stone Capital LLC, has increased its beneficial ownership in Tivic Health Systems, Inc. to 9.9% by adjusting beneficial ownership limitations.