{"version":"company-facts.v1","source":"https://secwatch.observer","generated_at":"2026-06-06T01:28:31.657839+00:00","company":{"ticker":"ESLA","cik":1844417,"company_name":"Estrella Immunopharma, Inc."},"pagination":{"limit":100,"returned":7,"next_cursor":null},"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer","facts":[{"fact_type":"exchange_compliance_notice","fact_key":"857f358541e1f3dcd347ae68aafb4424c4c0dd61","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2026-01-13T23:59:59+00:00","payload":{"company_response":null,"compliance_status":"plan_due","cure_deadline":"2026-02-21","deficiency_type":"other","delisting_effective_date":null,"exchange":"nasdaq","hearing_date":null,"immediate_listing_effect":null,"minimum_requirement":null,"notice_date":"2026-01-07","notice_type":"deficiency_notice","plan_due_date":"2026-02-21","raw_rule_text":"Nasdaq Listing Rule 5620(a)","reported_value":null,"rule_numbers":["5620(a)"],"rules_cited_in_text":true},"claim":"Estrella Immunopharma, Inc. received a nasdaq deficiency notice notice regarding other (rules 5620(a)).","evidence_excerpt":"January 7, 2026, Estrella Immunopharma, Inc. (the\n“Company”) received a letter (the “Letter”) from the Listing Qualifications Department of The Nasdaq Stock Market\nLLC (“Nasdaq”) indicating that the Company is not in compliance with Nasdaq Listing Rule 5620(a) because the Company has not\nheld an annual meeting of shareholders within the required time period. The Letter also referenced the compliance plan procedures under\nNasdaq Listing Rule 5810(c)(2)(G). The Letter states that the Company has 45 calendar\ndays to submit a plan to regain compliance. The Company intends to submit its compliance","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001213900-26-003998","anchor_url":"https://secwatch.observer/filing/0001213900-26-003998#claim-857f358541e1f3dcd347ae68aafb4424c4c0dd61","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390026003998/0001213900-26-003998-index.htm"},{"fact_type":"material_agreement","fact_key":"95d89729100ab345d84313e8c85897aecb8b02e6","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2026-01-06T23:59:59+00:00","payload":{"action":"entry","agreement_name":"Registration Rights Agreement","agreement_type":"equity_purchase","counterparty":"the Investor","effective_date":"2026-01-05","item_codes_triggered":["1.01"],"value_text":null},"claim":"Estrella Immunopharma, Inc. entered into Registration Rights Agreement with the Investor (effective 2026-01-05).","evidence_excerpt":"In connection with the Private Placement, the Company and the Investor entered into a registration rights agreement, dated January 5, 2026 (the “Registration Rights Agreement”), pursuant to which the Company agreed to file a registration statement (the “Resale Registration Statement”), providing for the resale of the shares of Common Stock issued and issuable upon exercise of the PIPE Common Warrants within thirty (30) days of the closing of the Offering, to have such registration statement declared effective within sixty (60) days of the closing date (or ninety (90) days of the closing date if the SEC conducts a full review of a Resale Registration Statement), and to maintain the effectiveness of such registration statement until the earlier of (i) the date on which all such securities have been sold thereunder or pursuant to Rule 144, or (ii) the date on which such securities are eligible for resale without the need for registration under the Securities Act.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-26-001777","anchor_url":"https://secwatch.observer/filing/0001213900-26-001777#claim-95d89729100ab345d84313e8c85897aecb8b02e6","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390026001777/0001213900-26-001777-index.htm"},{"fact_type":"material_agreement","fact_key":"488af9fd06b4f5064f9af2ed14ca76401be32f20","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2026-01-06T23:59:59+00:00","payload":{"action":"entry","agreement_name":"Placement Agent Agreement","agreement_type":"underwriting","counterparty":"Aegis Capital Corp.","effective_date":"2026-01-05","item_codes_triggered":["1.01"],"value_text":null},"claim":"Estrella Immunopharma, Inc. entered into Placement Agent Agreement with Aegis Capital Corp. (effective 2026-01-05).","evidence_excerpt":"In connection with the Offerings, the Company also entered into a placement agent agreement, dated January 5, 2026 (the “Placement Agent Agreement”), with Aegis Capital Corp. (the “Placement Agent”), pursuant to which the Company paid the Placement Agent a cash fee equal to 6.0% of the aggregate gross proceeds of the Offerings and reimbursed the Placement Agent for certain expenses and legal fees.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-26-001777","anchor_url":"https://secwatch.observer/filing/0001213900-26-001777#claim-488af9fd06b4f5064f9af2ed14ca76401be32f20","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390026001777/0001213900-26-001777-index.htm"},{"fact_type":"material_agreement","fact_key":"702af47aa15799f481d8d25f7717b312abed49b6","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2026-01-06T23:59:59+00:00","payload":{"action":"entry","agreement_name":"Securities Purchase Agreement","agreement_type":"equity_purchase","counterparty":"a healthcare-focused institutional investor","effective_date":"2026-01-05","item_codes_triggered":["1.01"],"value_text":"approximately $8.0 million"},"claim":"Estrella Immunopharma, Inc. entered into Securities Purchase Agreement with a healthcare-focused institutional investor valued at approximately $8.0 million (effective 2026-01-05).","evidence_excerpt":"On January 5, 2026, Estrella Immunopharma, Inc. (the “Company”) entered into a securities purchase agreement (the “Securities Purchase Agreement”) with a healthcare-focused institutional investor (the “Investor”), pursuant to which the Company agreed to issue and sell to the Investor (a) in a registered direct offering (the “Registered Direct Offering”) (i) 4,063,290 shares (the “Shares”) of common stock, par value $0.0001 per share (“Common Stock”), of the Company, and (ii) pre-funded warrants (the “Pre-Funded Warrants”) to purchase 1,000,000 shares of Common Stock for $0.00001 per share; and (b) in a concurrent private placement (the “Private Placement,” and together with the Registered Direct Offering, the “Offerings”), common stock purchase warrants (the “PIPE Common Warrants”), exercisable for up to an aggregate of 7,594,935 shares of Common Stock for $1.39 per share, subject to customary anti-dilution adjustments for stock splits, reclassifications and recapitalizations of the Co","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-26-001777","anchor_url":"https://secwatch.observer/filing/0001213900-26-001777#claim-702af47aa15799f481d8d25f7717b312abed49b6","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390026001777/0001213900-26-001777-index.htm"},{"fact_type":"exchange_compliance_notice","fact_key":"ac1a7b03fd76a0236a68ff06aeb99d3c03e71b8a","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2025-08-07T23:59:59+00:00","payload":{"company_response":"The Company intends to actively monitor its MVLS and will consider available options to regain compliance.","compliance_status":"deficient","cure_deadline":"2026-01-28","deficiency_type":"market_value","delisting_effective_date":null,"exchange":"nasdaq","hearing_date":null,"immediate_listing_effect":false,"minimum_requirement":null,"notice_date":"2025-08-01","notice_type":"deficiency_notice","plan_due_date":null,"raw_rule_text":null,"reported_value":null,"rule_numbers":["5550(b)(2)","5810(c)(3)(C)"],"rules_cited_in_text":true},"claim":"Estrella Immunopharma, Inc. received a nasdaq deficiency notice notice regarding market value (rules 5550(b)(2), 5810(c)(3)(C)).","evidence_excerpt":"August 1, 2025, Estrella Immunopharma, Inc.\n(the “ Company ”) received a written notice from the Listing Qualifications Department of The Nasdaq Stock Market LLC\n(“ Nasdaq ”) indicating that the Company is not in compliance with Nasdaq Listing Rule 5550(b)(2), which requires listed\nsecurities to maintain a minimum Market Value of Listed Securities (“ MVLS ”) of $35,000,000. The Company has not met\nthis requirement for the 30 consecutive business days preceding the date of the notice. The notice indicated the period of non-compliance\nwas from June 13, 2025, to July 31, 2025. The notice also not","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-25-072746","anchor_url":"https://secwatch.observer/filing/0001213900-25-072746#claim-ac1a7b03fd76a0236a68ff06aeb99d3c03e71b8a","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390025072746/0001213900-25-072746-index.htm"},{"fact_type":"executive_change","fact_key":"017a7ffa11","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2024-08-20T23:59:59+00:00","payload":{"action":"appointed","action_category":"appointment","departure_tone":"not_applicable","effective_date":"2024-08-14","interim":false,"role":"Chairperson and a member of the Board of Directors","role_category":"chair","successor_name":null,"successor_named":false},"claim":"Hong Zhang was appointed as Chairperson and a member of the Board of Directors at Estrella Immunopharma, Inc..","evidence_excerpt":"On August 14, 2024, the Board of Directors of Estrella Immunopharma, Inc. (the “Company”) appointed Ms. Hong Zhang as Chairperson and a member of the Company’s Board of Directors (the “Board”), effective as of the same date.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001213900-24-071174","anchor_url":"https://secwatch.observer/filing/0001213900-24-071174#claim-017a7ffa11","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390024071174/0001213900-24-071174-index.htm"},{"fact_type":"material_agreement","fact_key":"6cdd9575a8728d0f51a82b5b093d288b399b73ac","cik":1844417,"ticker":"ESLA","company_name":"Estrella Immunopharma, Inc.","filed_at":"2024-05-13T23:59:59+00:00","payload":{"action":"amendment","agreement_name":"Amendment No. 1 to the Statement of Work","agreement_type":"other","counterparty":"Eureka Therapeutics, Inc.","effective_date":"2024-03-04","item_codes_triggered":["1.01"],"value_text":null},"claim":"Estrella Immunopharma, Inc. amended Amendment No. 1 to the Statement of Work with Eureka Therapeutics, Inc. (effective 2024-03-04).","evidence_excerpt":"On May 13, 2024, Estrella Immunopharma, Inc. (the “Company”), Estrella Biopharma, Inc. (“Estrella”), a wholly-owned subsidiary of the Company and the sole operating subsidiary of the Company, and Eureka Therapeutics, Inc. (“Eureka”), the controlling shareholder of the Company, entered into Amendment No. 1 to the Statement of Work (“Amendment No. 1”), effective as of March 4, 2024, which amends Statement of Work #001 (the “SOW”), dated and effective as of March 4, 2024, among the Company, Estrella, and Eureka, relating to the services (“Services”) to be performed by Eureka for Estrella in connection with Estrella’s EB103 anti-CD19 ARTEMIS® clinical trial.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-24-042444","anchor_url":"https://secwatch.observer/filing/0001213900-24-042444#claim-6cdd9575a8728d0f51a82b5b093d288b399b73ac","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/1844417/000121390024042444/0001213900-24-042444-index.htm"}]}