Sonnet BioTherapeutics Holdings, Inc.

Overview

• IndustryPharmaceutical Preparations¹
• HeadquartersPrinceton, New Jersey¹
• Incorporated inDE³
• Business address100 Overlook Center, Suite 102, Princeton, Nj 08540³
• Filer categoryNon-accelerated filer, Smaller reporting company³
• Legal formCorporation

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(SOC) for PROC in a randomized comparison to show proof-of-concept (POC) in a larger population.⁴ From its latest annual report

Corporate structure

Sonnet BioTherapeutics Holdings, 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 Sonnet BioTherapeutics Holdings, 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

The Company relies on short term office use contracts to procure office and meeting space.

Item 2 of the 10-K filed Dec 16, 2025.⁴

Leadership

Who has led Sonnet BioTherapeutics Holdings, Inc., and when. Pick a name to see everywhere that person has worked.

• Chief executive officerRaghu Rao Jul 15, 2025 to now¹⁵
• Chief executive officerPankaj Mohan Apr 3, 2020 to Jul 15, 2025¹⁶
• Chief executive officerMichael D. Pruitt Jan 18, 2006 to Mar 24, 2020¹⁷
• ChairPankaj Mohan Apr 3, 2020 to now¹⁶
• ChairMichael D. Pruitt Apr 21, 2016 to Mar 24, 2020¹⁸
• PresidentPankaj Mohan Apr 3, 2020 to now¹⁶
• PresidentFrederick L. Glick Dec 20, 2018 to Mar 24, 2020¹⁹
• PresidentMichael D. Pruitt May 30, 2014 to May 30, 2014²⁰
• Chief financial officerDonald J. Griffith Jul 15, 2025 to now²¹
• Chief financial officerJohn Harry Cross Iii. Apr 3, 2020 to Jul 15, 2025²²
• Chief financial officerPatrick Clay Harkleroad Apr 10, 2019 to May 6, 2019²³
• Chief financial officerDarren Howard Smith Oct 8, 2013 to Jan 5, 2015²⁴
• Chief operating officerMark Daniel Roberson Jun 1, 2015 to Dec 28, 2016²⁵

Named in SEC Form D filings

People the company listed in its private-offering notices.

• Executive OfficerJay Cross named Aug 19, 2022 to Dec 23, 2024⁴⁹
• Executive OfficerRichard K. Kenny named Aug 19, 2022 to Dec 23, 2024⁴⁹
• DirectorLori K. McNeil named Dec 23, 2024⁴⁹

Former names

• Chanticleer Holdings, Inc.May 10, 2005 to Mar 31, 2020³
• TULVINE SYSTEMS INCMar 7, 2000 to Mar 31, 2005³

Timeline

1. Dec 3, 20258-K Completed an acquisition or sale; Listing notice or transfer; Unregistered sale of shares⁵⁰
2. Dec 2, 20258-K Other events⁵¹
3. Nov 18, 20258-K Regulation FD disclosure⁵²
4. Sep 29, 20258-K Shareholder vote⁵³
5. Aug 1, 20258-K Executive or director change⁵⁴
6. Jul 25, 20258-K Other events⁵⁵
7. Jul 18, 20258-K Other events⁵⁶
8. Jul 15, 2025New chief executive Raghu Rao becomes CEO¹⁵
9. Jul 14, 20258-K Entered a material agreement; Unregistered sale of shares; Executive or director change⁵⁷
10. Jul 2, 20258-K Entered a material agreement; New debt or obligation; Unregistered sale of shares⁵⁸
11. Jun 2, 20258-K Listing notice or transfer; Other events⁵⁹
12. Apr 4, 20258-K Other events⁶⁰
13. Apr 1, 20258-K Executive or director change⁶¹
14. Apr 3, 2020New chief executive Pankaj Mohan becomes CEO¹⁶
15. Jan 18, 2006New chief executive Michael D. Pruitt becomes CEO¹⁷

Calendar

When it reported results

1. Feb 13, 2025Reported quarterly or annual results⁶²
2. Dec 17, 2024Reported quarterly or annual results⁶³
3. Aug 14, 2024Reported quarterly or annual results⁶⁴
4. May 14, 2024Reported quarterly or annual results⁶⁵
5. Feb 14, 2024Reported quarterly or annual results⁶⁶
6. Dec 14, 2023Reported quarterly or annual results⁶⁷
7. Aug 14, 2023Reported quarterly or annual results⁶⁸
8. May 10, 2023Reported quarterly or annual results⁶⁹

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

Filings

353 filings to the SEC since October 2021: 6 annual reports, 12 quarterly reports, 89 major events, 62 insider forms, 18 large holders, 3 private raises, 163 other. The latest 20:

1. Jul 17, 202610-K/A EDGAR
2. Dec 16, 2025EFFECT EDGAR
3. Dec 16, 2025EFFECT EDGAR
4. Dec 16, 2025EFFECT EDGAR
5. Dec 16, 2025EFFECT EDGAR
6. Dec 16, 2025EFFECT EDGAR
7. Dec 16, 2025EFFECT EDGAR
8. Dec 16, 2025EFFECT EDGAR
9. Dec 16, 2025EFFECT EDGAR
10. Dec 16, 2025EFFECT EDGAR
11. Dec 16, 2025EFFECT EDGAR
12. Dec 16, 2025EFFECT EDGAR
13. Dec 16, 2025EFFECT EDGAR
14. Dec 16, 2025EFFECT EDGAR
15. Dec 16, 2025EFFECT EDGAR
16. Dec 16, 2025EFFECT EDGAR
17. Dec 16, 2025EFFECT EDGAR
18. Dec 16, 2025EFFECT EDGAR
19. Dec 16, 2025EFFECT EDGAR
20. Dec 16, 2025EFFECT EDGAR

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

Insider trades

7 open-market trades by officers, directors and large owners since October 2021: 7 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.

• Republic Digital Opportunistic Digital Assets Master Fund, Ltd.SCHEDULE 13G, 1 filing Jul 25, 2025⁷⁰
• John MarkeySC 13G/A, 11 filings May 2, 2023 to Jan 2, 2024⁷¹
• Matthew J. RuckSC 13G/A, 4 filings Jun 9, 2023 to Jun 22, 2023⁷²
• Hudson Bay Capital Management LPSC 13G/A, 2 filings Feb 3, 2022 to Feb 10, 2023⁷³

Executive pay

What the company paid its top executives, from the summary compensation table in its proxy statement. Total pay includes salary, bonus, stock and option awards and other pay, as the company valued them.

Money raised

Private offerings the company reported to the SEC on Form D.

1. Dec 10, 2024Raised $3.9 million in a private offering of equity Form D: 4 investors so far Form D
2. Jun 30, 2023Raised $2.2 million in a private offering of equity Form D: 1 investor so far Form D
3. Aug 15, 2022Raised $2.2 million in a private offering of equity Form D: 5 investors so far Form D

SEC filer profile

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

• Name on EDGARSonnet BioTherapeutics Holdings, Inc.¹
• CIK0001106838
• Employer ID (EIN)20-2932652⁴
• Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; a shell company⁴
• Incorporated inDelaware⁴
• Fiscal year endsSeptember 30¹
• Industry code (SIC)2834 Pharmaceutical Preparations¹
• SEC reviewing officeOffice of Life Sciences, Division of Corporation Finance¹
• Business address100 Overlook Center, Suite 102, Princeton, NJ 08540¹
• Phone609-375-2227¹
• Shares outstanding1 shares as of Dec 12, 2025⁴
• Public float$4.2M as of Mar 31, 2025⁴
• AuditorKPMG LLP, Philadelphia, Pennsylvania PCAOB ID 185; no auditor attestation of internal control over financial reporting⁴
• On EDGAR sinceFeb 15, 2000¹
• Filings1,216 in all: 8-K (294), 4 (222), CORRESP (67), 10-Q (61), EFFECT (59), UPLOAD (51), 3 (36), POS AM (33)¹
  All 62 form types

  S-1/A (32), SC 13G/A (26), 10-K (21), 424B3 (20), SC 13G (19), 10QSB (16), DEF 14A (16), SC 13D/A (16), 10-K/A (14), 425 (14), 8-K/A (14), S-3 (14), 10-Q/A (13), S-1 (13), D (12), DEFA14A (10), 424B4 (9), 424B5 (9), PRE 14A (9), S-3/A (9), NT 10-K (8), FWP (6), NT 10-Q (6), S-8 (6), S-8 POS (6), 10KSB (5), 1-E (4), 2-E (4), 4/A (4), 10KSB/A (3), 25-NSE (3), 5 (3), ARS (3), SC 13D (3), 10SB12G/A (2), 3/A (2), PRE 14C (2), 10SB12G (1), 15-12G (1), 2-E/A (1), 40-17G (1), 424B2 (1), 8-A12B (1), AW (1), CERTNAS (1), DEF 14C (1), DEFM14A (1), N-54A (1), N-54C (1), PRER14A (1), PRER14C (1), S-4 (1), S-4/A (1), SCHEDULE 13G (1)

• Latest filingsAnnual report (10-K) Dec 16, 2025
  Quarterly report (10-Q) Aug 13, 2025
  Proxy statement (DEF 14A) Aug 26, 2025
  Latest 8-K (8-K) Dec 3, 2025

Securities registered for trading

From the cover page of the 10-K filed Dec 16, 2025 (Section 12(b) of the Exchange Act).⁴

Risk factors and legal proceedings

The risks Sonnet BioTherapeutics Holdings, Inc. names in Item 1A of its 10-K filed Dec 16, 2025: 60 risks under these headings, as written.⁴

• Risks Related to Our Financial Position and Need for Additional Capital
• We have a history of significant operating losses and expect to incur significant and increasing losses for the foreseeable future, and we may never achieve or maintain profitability.
• Our limited operating history may make it difficult for you to evaluate the success of our business to date and to assess our future viability.
• Our recurring losses from operations have raised substantial doubt regarding our ability to continue as a going concern.
• We will need substantial additional funding, and if we are unable to raise capital when needed, we could be forced to delay, reduce or eliminate our product discovery and development programs or commercialization efforts.
• Risks Related to the Discovery, Development and Regulatory Approval of Our Product Candidates
• We are substantially dependent on the success of our internal development programs and our product pipeline candidates may not successfully complete clinical trials, receive regulatory approval or be successfully commercialized.
• We are at an early stage in our development efforts, our product candidates represent a new category of medicines and may be subject to heightened regulatory scrutiny until they are established as a therapeutic modality.
• Our product candidates and those of any collaborators will need to undergo preclinical and clinical trials that are time-consuming and expensive, the outcomes of which are unpredictable, and for which there is a high risk of failure. If preclinical or clinical trials of our or their product candidates fail to satisfactorily demonstrate safety and efficacy to the FDA, the EMA and any other comparable regulatory authority, additional costs may be incurred or delays experienced in completing, the development of these product candidates, or their development may be abandoned.
• We may find it difficult to enroll patients in our clinical trials, which could delay or prevent us from proceeding with clinical trials of our product candidates.
• Results of preclinical studies and early clinical trials may not be predictive of results of future clinical trials.
• Our current or future product candidates may cause undesirable side effects or have other properties when used alone or in combination with other approved products or investigational new drugs that could halt their clinical development, prevent their marketing approval, limit their commercial potential or result in significant negative consequences.

Legal proceedings

We are not currently subject to any material legal proceedings. However, we may from time to time become a party to various legal proceedings arising in the ordinary course of our business.

The opening of Item 3, Legal Proceedings.⁴