Kiromic Biopharma, Inc.

Overview

• IndustryBiological Products, (No Diagnostic Substances)¹
• HeadquartersHouston, Texas¹
• Incorporated inDE²
• Business address7707 Fannin St., Suite 140, Houston, Tx 77054²
• Filer category, Emerging growth company²

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Kiromic BioPharma, Inc. (the "Company" or “We”) is a clinical stage, fully integrated biotherapeutics company formed under the Texas Business Organizations Code in December 2012. We maintain offices in Houston, Texas. We have not generated any revenue to date.³ From its latest annual report

Corporate structure

Kiromic Biopharma, Inc. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What Kiromic Biopharma, Inc. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Investments

Properties, in its own words

We lease our corporate headquarters at 7707 Fannin Street, Suite 200 in Houston, Texas under a non-cancelable operating lease expiring in April 2026. Our lease agreement contains approximately 34,400 square feet. The Company has the option to cancel the lease thereafter until the agreement expires on April 30, 2026. The termination date is effective after a 90-day notice of cancellation.

We intend to add new facilities or expand existing facilities as we add employees, and we believe that suitable additional or substitute space will be available as needed to accommodate any such expansion of our operations.

Item 2 of the 10-K filed Feb 14, 2025.³

Leadership

Who has led Kiromic Biopharma, Inc., and when. Pick a name to see everywhere that person has worked.

• Chief executive officerPietro Bersani Aug 15, 2022 to Aug 26, 2024¹¹
• Chief executive officerInternati Maurizio Chiriva Oct 16, 2020 to Sep 10, 2021¹²
• ChairInternati Maurizio Chiriva Oct 16, 2020 to Oct 16, 2020¹²
• PresidentInternati Maurizio Chiriva Oct 16, 2020 to Oct 16, 2020¹²
• Chief financial officerBrian Hungerford Oct 3, 2023 to Aug 21, 2024¹³
• Chief financial officerTony Tontat Oct 16, 2020 to Mar 11, 2021¹⁴
• Chief operating officerTony Tontat Jan 6, 2021 to Mar 11, 2021¹⁵

Former names

• Kiromic, Inc.Nov 15, 2019 to Nov 15, 2019²

Timeline

1. Mar 21, 20258-K Bankruptcy or receivership; Bylaws or fiscal year changed²⁹
2. Mar 17, 20258-K Other events³⁰
3. Feb 3, 20258-K Entered a material agreement; New debt or obligation; Unregistered sale of shares³¹
4. Feb 3, 20258-K Entered a material agreement; New debt or obligation; Unregistered sale of shares³²
5. Dec 11, 20248-K Entered a material agreement; New debt or obligation; Unregistered sale of shares³³
6. Nov 4, 20248-K Entered a material agreement; Unregistered sale of shares³⁴
7. Sep 30, 20248-K Entered a material agreement; Unregistered sale of shares; Bylaws or fiscal year changed³⁵
8. Aug 5, 20248-K Entered a material agreement; New debt or obligation; Unregistered sale of shares³⁶
9. Jul 10, 20248-K Entered a material agreement; New debt or obligation; Unregistered sale of shares³⁷
10. Jun 28, 20248-K Shareholder vote³⁸
11. Jun 27, 20248-K Entered a material agreement; Ended a material agreement; New debt or obligation³⁹
12. Jun 7, 20248-K Entered a material agreement; New debt or obligation; Unregistered sale of shares⁴⁰
13. Aug 15, 2022New chief executive Pietro Bersani becomes CEO¹¹
14. Oct 16, 2020New chief executive Internati Maurizio Chiriva becomes CEO¹²

Calendar

When it reported results

1. May 13, 2022Reported quarterly or annual results⁴¹
2. Apr 8, 2022Reported quarterly or annual results⁴²
3. Mar 11, 2022Reported quarterly or annual results⁴³

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

170 filings to the SEC since October 2021: 6 annual reports, 10 quarterly reports, 77 major events, 36 insider forms, 11 large holders, 30 other. The latest 20:

1. Mar 21, 20258-K EDGAR
2. Mar 17, 20258-K EDGAR
3. Feb 19, 2025S-1/A EDGAR
4. Feb 14, 202510-K EDGAR
5. Feb 3, 20258-K/A EDGAR
6. Feb 3, 20258-K EDGAR
7. Jan 17, 2025S-1 EDGAR
8. Dec 11, 20248-K EDGAR
9. Nov 8, 202410-Q EDGAR
10. Nov 4, 20248-K EDGAR
11. Nov 4, 2024SC 13G/A EDGAR
12. Sep 30, 20248-K EDGAR
13. Aug 26, 20244 EDGAR
14. Aug 21, 20244 EDGAR
15. Aug 14, 20244 EDGAR
16. Aug 9, 202410-Q EDGAR
17. Aug 5, 20248-K EDGAR
18. Jul 10, 20248-K EDGAR
19. Jun 28, 20248-K EDGAR
20. Jun 27, 20248-K EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

12 open-market trades by officers, directors and large owners since October 2021: 12 buys and 0 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• YA II PN, Ltd.SC 13G/A, 3 filings Oct 20, 2022 to Nov 4, 2024⁴⁴
• Shannon RalstonSC 13D, 1 filing May 20, 2024⁴⁵
• Pietro BersaniSC 13D/A, 2 filings Feb 8, 2024 to May 9, 2024⁴⁶
• Empery Asset Management, LPSC 13G/A, 3 filings Jan 13, 2022 to Jan 8, 2024⁴⁷
• SABBY MANAGEMENT, LLCSC 13G/A, 2 filings Jan 4, 2023 to Jan 2, 2024⁴⁸

SEC filer profile

How Kiromic Biopharma, Inc. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARKiromic Biopharma, Inc.¹
• CIK0001792581
• Employer ID (EIN)46-4762913³
• Filer statusNon-accelerated filer an emerging growth company; a smaller reporting company; not a shell company³
• Incorporated inDelaware³
• Fiscal year endsDecember 31¹
• Industry code (SIC)2836 Biological Products, (No Diagnostic Substances)¹
• SEC reviewing officeOffice of Life Sciences, Division of Corporation Finance¹
• Business address7707 Fannin St., Suite 140, Houston, TX 77054¹
• Phone832-968-4888¹
• Shares outstanding1,533,272 shares as of Feb 10, 2025³
• Public float$3.4M as of Jun 30, 2024³
• AuditorWhitley Penn LLP, Houston, Texas PCAOB ID 726; no auditor attestation of internal control over financial reporting³
• On EDGAR sinceNov 15, 2019¹
• Filings252 in all: 8-K (93), 4 (35), 3 (18), 10-Q (13), CORRESP (8), S-1/A (8), FWP (7), S-1 (6)¹
  All 34 form types

  10-K (5), DEF 14A (5), SC 13G/A (5), UPLOAD (5), DEFA14A (4), S-8 (4), SC 13G (4), 10-K/A (3), EFFECT (3), 4/A (2), 424B3 (2), 424B4 (2), DRS (2), DRSLTR (2), NT 10-K (2), PRE 14A (2), RW (2), SC 13D (2), 25-NSE (1), 8-A12B (1), 8-K/A (1), ARS (1), CERT (1), DRS/A (1), NT 10-Q (1), SC 13D/A (1)

• Latest filingsAnnual report (10-K) Feb 14, 2025
  Quarterly report (10-Q) Nov 8, 2024
  Proxy statement (DEF 14A) May 17, 2024
  Latest 8-K (8-K) Mar 21, 2025

Securities registered for trading

From the cover page of the 10-K filed Feb 14, 2025 (Section 12(b) of the Exchange Act).³

Risk factors and legal proceedings

The risks Kiromic Biopharma, Inc. names in Item 1A of its 10-K filed Feb 14, 2025: 52 risks under these headings, as written.³

• Risks Related to Our Financial Position
• We have incurred losses since inception and we expect to incur significant net losses in the foreseeable future.
• We may never achieve or sustain profitability.
• We will need substantial additional funding to develop our product candidates and conduct our future operations and to repay our outstanding debt obligations. We cannot be certain that additional capital will be available on terms acceptable to us, or at all.
• If we are unable to raise substantial additional capital on acceptable terms, or at all, we may be forced to delay, reduce or eliminate some or all of our research programs, product development activities and commercialization efforts.
• Our financial situation creates doubt whether we will continue as a going concern.
• Risks Related to our Business
• We have a limited operating history, which makes it difficult to evaluate our current business and future prospects and may increase the risk of your investment.
• As a company, we have never commercialized a product. We currently have no active sales force or commercial infrastructure. We may lack the necessary expertise, personnel and resources to successfully commercialize our product candidates.
• We must maintain quality controls and compliance with manufacturing standards.
• Serious adverse events, including patient deaths in our clinical trials could delay or prevent regulatory approval and impact our business.
• Our future success depends on our ability to retain our Chief Executive Officer, and other key executives and to attract, retain and motivate qualified personnel.

Legal proceedings

From time to time in the future, we may become involved in litigation or other legal proceedings that arise in the ordinary course of business.

Dr. Terrell Claim

On March 22, 2021, Jason Terrell (“Terrell”), a former consultant for and director of the Company, commenced an action against us in the Court of Chancery of the State of Delaware, C.A. No. 2021-0248-MTZ (the “Action”). In the Action, Terrell seeks a declaratory judgment that we are obligated to issue him (i) options to purchase 16,667 shares of common stock at a price of $15.00 per share pursuant to an alleged 2014 consulting agreement, and (ii) options to purchase an additional 16,667 shares of our common stock at a price of $5.10 per share pursuant to an alleged January 2017 non-employee director options agreement.

Pursuant to a stipulated scheduling order, the parties submitted supplemental letter briefs to the Chancery Court in mid-August 2023, addressing the impact of the Opinion on the Company’s motion to dismiss. Thereafter, the Chancery Court notified the parties that it had received the supplemental letter briefs and would take the matter under advisement without holding oral argument.

The opening of Item 3, Legal Proceedings.³