Niki BioSolutions Sets Up $1.4 Million At-the-Market Stock Sale Program With H.C. Wainwright
Niki BioSolutions entered into an at-the-market offering agreement allowing it to sell up to $1,396,000 of common stock through H.C. Wainwright & Co. and Brookline Capital Markets, under a shelf registration declared effective on October 9, 2026. The company has no obligation to sell any shares, and any sales would dilute existing shareholders and carry a 3.0% placement fee to Wainwright.
Key points
- Maximum aggregate offering price of up to $1,396,000 of common stock, subject to authorized share availability and Form S-3 eligibility
- Placement fee of 3.0% of gross sales price paid to Wainwright on shares sold as sales agent
- Wainwright is deemed to have a conflict of interest because its managing director, Dr. Kira Sheinerman, is the Company's largest shareholder and a director; Brookline acts as qualified independent underwriter for no additional compensation
The filing
Written by AI on Nov 9, 2026, 8:53 AM ET, from this filing only. Written later: this filing was briefed after the fact, when past filings were added to the site, so the brief may be read with hindsight; the filing itself is the record of what was known on October 09, 2026.
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.