# EDGAR Filing Document

**Accession Number:** 0001742927
**File Stem:** 0001437749-26-006991
**Filing Date:** 2026-3
**Character Count:** 21153
**Document Hash:** eac621ffefbe5c9b808c7a7c4f701340
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-26-006991.hdr.sgml**: 20260305

**ACCESSION NUMBER**: 0001437749-26-006991

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20260304

**ITEM INFORMATION**: Material Modifications to Rights of Security Holders

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20260305

**DATE AS OF CHANGE**: 20260305

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** REVIVA PHARMACEUTICALS HOLDINGS, INC.
- **CENTRAL INDEX KEY:** 0001742927
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38634
- **FILM NUMBER:** 26724235

**BUSINESS ADDRESS:**
- **STREET 1:** 10080 N WOLFE ROAD
- **STREET 2:** SUITE SW3-200
- **CITY:** CUPERTINO
- **STATE:** CA
- **ZIP:** 95014
- **BUSINESS PHONE:** 4085018881

**MAIL ADDRESS:**
- **STREET 1:** 10080 N WOLFE ROAD
- **STREET 2:** SUITE SW3-200
- **CITY:** CUPERTINO
- **STATE:** CA
- **ZIP:** 95014

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Tenzing Acquisition Corp.
- **DATE OF NAME CHANGE:** 20180606

?xml version='1.0' encoding='ASCII'? rvph20260227_8k.htm

--12-31

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): **March 4, 2026**

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| |
|:---|
| **REVIVA PHARMACEUTICALS HOLDINGS, INC.** |
| (Exact name of registrant as specified in its charter) |

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| | | |
|:---|:---|:---|
| **Delaware** | **001-38634** | **85-4306526** |
| (State or other jurisdiction<br> of incorporation) | (Commission File Number) | (IRS Employer<br> Identification No.) |

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| | |
|:---|:---|
| **10080 N Wolfe Road, Suite SW3-200, Cupertino, CA** | **95014** |
| (Address of principal executive offices) | (Zip Code) |

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Registrant's telephone number, including area code: **(408) 501-8881**

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| |
|:---|
| **Not Applicable** |
| (Former name or former address, if changed since last report) |

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act.

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which**<br> **registered** |
| Common Stock, par value $0.0001 per share | RVPH | Nasdaq Capital Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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**Item 3.03. Material Modification to Rights of Security Holders.**

To the extent required by Item 3.03 of Form 8-K, the information regarding the Reverse Stock Split (as defined below) contained in Item 5.03 of this Current Report on Form 8-K is incorporated by reference herein.

**Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.**

On March 4, 2026, Reviva Pharmaceuticals Holdings, Inc. (the "Company", "we," "us", or "our") filed a Certificate of Amendment to the Company's Amended and Restated Certificate of Incorporation, as amended, with the Secretary of State of the State of Delaware (the "Certificate of Amendment"), which will effect, at 12:01 a.m. Eastern Time on March 9, 2026, a one-for-twenty (1:20) reverse stock split (the "Reverse Stock Split") of the Company's issued and outstanding shares of common stock, par value $0.0001 per share (the "Common Stock"). In connection with the Reverse Stock Split, the CUSIP number for the Common Stock will change to 76152G 209. The trading symbol for the Common Stock will remain "RVPH".

The Company anticipates that the Common Stock will begin trading on a Reverse Stock Split-adjusted basis when the market opens on March 9, 2026.

As a result of the Reverse Stock Split, every twenty (20) shares of Common Stock issued and outstanding will be converted into one (1) share of Common Stock. The Reverse Stock Split will affect all stockholders uniformly and will not alter any stockholder's percentage interest in the Company's equity, except to the extent that the Reverse Stock Split would result in some stockholders owning a fractional share. No fractional shares will be issued in connection with the Reverse Stock Split. Stockholders who would otherwise be entitled to a fractional share of Common Stock will automatically be entitled to receive an additional fraction of a share of Common Stock to round up to the next whole share.

The Reverse Stock Split will not change the par value of the Common Stock or the authorized number of shares of Common Stock. All outstanding securities entitling their holders to purchase shares of Common Stock or acquire shares of Common Stock, including stock options and warrants, will be adjusted as a result of the Reverse Stock Split, as required by the terms of those securities.

At the Company's annual meeting of stockholders held on December 18, 2025, the Company's stockholders granted the Company's Board of Directors (the "Board") the discretion to effect the Reverse Stock Split at a ratio of not less than one-for-two (1:2) and not more than one-for-twenty (1:20), with such ratio to be determined by the Board. On February 26, 2026, the Board approved a Reverse Stock Split ratio of one-for-twenty (1:20) and authorized the filing of the Certificate of Amendment.

The foregoing description of the Certificate of Amendment is a summary of the material terms thereof, does not purport to be complete and is qualified in its entirety by reference to the full text of the Certificate of Amendment, which is filed with this Current Report on Form 8-K as Exhibit 3.1 and is incorporated herein by reference.

**Item 8.01 Other Events.**

The Company is including the below update to its risk factors, for the purpose of supplementing and updating the "Risk Factors" disclosure contained in its Annual Report on Form 10-K for the fiscal year ended December 31, 2024, filed with the Securities and Exchange Commission ("SEC") on April 3, 2025, and its Quarterly Reports on Form 10-Q for the periods ended March 31, 2025, June 30, 2025 and September 30, 2025, filed with the SEC on May 15, 2025, August 14, 2025 and November 13, 2025, respectively. The below update should be read in conjunction with the "Risk Factors" disclosure appearing in the foregoing reports, as further supplemented and updated in the Company's other filings from time to time with the SEC.

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***Our Common Stock is currently listed on The Nasdaq Capital Market. If we fail to maintain compliance with the requirements of The Nasdaq Capital Market for continued listing, our Common Stock may be delisted and the price of our Common Stock and our ability to access the capital markets could be negatively impacted.***

Our Common Stock is currently listed for trading on Nasdaq. On May 13, 2025, we received a notice from the Listing Qualifications Staff (the "Staff") of Nasdaq indicating that we are not in compliance with the requirement under Nasdaq Listing Rule 5550(a)(2) to maintain a minimum bid price of $1.00 per share for continued listing on Nasdaq (the "Bid Price Requirement"). We were provided a compliance period of 180 calendar days from the date of the notice, or until November 10, 2025, to regain compliance with the Bid Price Requirement, pursuant to Nasdaq Listing Rule 5810(c)(3)(A). On November 11, 2025, we received a letter from Nasdaq indicating that, based upon our not having regained compliance with the Bid Price Requirement and our ineligibility for a second 180 calendar day compliance period, the Staff had determined to delist our securities from Nasdaq unless we timely requested a hearing before the Nasdaq Hearings Panel (the "Panel"). We timely requested a hearing before the Panel, which was held on January 8, 2026. At the Panel hearing, we requested an extension within which to evidence compliance with the Bid Price Requirement and the Staff has granted our request for an exception to demonstrate compliance with the Bid Price Requirement for continued listing through March 27, 2026 (the "Exception").

We will continue to monitor the closing bid price of our Common Stock and intend to continue to take definitive steps in an effort to evidence compliance with the Bid Price Requirement, including by the implementation of the one-for-twenty (1:20) Reverse Stock Split, becoming effective as of 12:01 a.m. Eastern Time on March 9, 2026. To regain compliance with the Bid Price Requirement, the closing bid price of our Common Stock must be at least $1.00 for a minimum of 10 consecutive business days, subject to the Panel's discretion to extend such 10-day period. The announcement and implementation of the Reverse Stock Split could negatively affect the price of our Common Stock. We cannot assure you that the prices for shares of our Common Stock after the Reverse Stock Split will increase proportionately to prices for shares of our Common Stock immediately before the Reverse Stock Split. Furthermore, even if the market price of our Common Stock does rise following the Reverse Stock Split, we cannot assure you that the market price of our Common Stock immediately after the Reverse Stock Split will be maintained for any period of time. There is also the possibility that liquidity may be adversely affected by the reduced number of shares which would be issued and outstanding when the Reverse Stock Split is effected, particularly if the price per share of our Common Stock were to begin a declining trend after the Reverse Stock Split. Accordingly, our total market capitalization after the Reverse Stock Split may be lower than the market capitalization before the Reverse Stock Split.

Pursuant to the Exception, we are required to, and fully intend to, provide the Panel with prompt notification of any significant events that occur during the Exception period that may affect our compliance with Nasdaq requirements, including any event that may call into question our ability to satisfy the terms of the Exception. The Panel has reserved the right to reconsider the terms of the Exception based on any event, condition or circumstance that exists or develops that would, in the Panel's opinion, make continued listing of our securities on Nasdaq inadvisable or unwarranted. There can be no assurance that we will be able to evidence compliance with the Bid Price Requirement within any extension period that has been granted by the Panel or that we will be able to maintain compliance with the Bid Price Requirement and/or the other applicable Nasdaq listing requirements.

We must satisfy Nasdaq's continued listing requirements, including, among other things, the Bid Price Requirement, or risk delisting, which could have a material adverse effect on our business. If our Common Stock is delisted from Nasdaq, it could materially reduce the liquidity of our Common Stock and result in a corresponding material reduction in the price of our Common Stock as a result of the loss of market efficiencies associated with Nasdaq and the loss of federal preemption of state securities laws. In addition, delisting could harm our ability to raise capital through alternative financing sources on terms acceptable to us, or at all, and may result in the potential loss of confidence by investors, suppliers, customers and employees and fewer business development opportunities. If our Common Stock is delisted, it could be more difficult to buy or sell our Common Stock or to obtain accurate quotations, and the price of our Common Stock could suffer a material decline. Delisting could also impair our ability to raise capital on acceptable terms, if at all.

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***Cautionary Language Concerning Forward-Looking Statements***

This Current Report on Form 8-K contains certain forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 and the Private Securities Litigation Reform Act, as amended, including those relating to the Company's ability to regain (as applicable) and maintain compliance with the continued listing requirements of Nasdaq and maintain the listing of the Common Stock; statements about the future listing of the Common Stock; statements about the Company's intentions and plans for addressing the Company's Bid Price Requirement listing deficiency, including statements about plans for regaining compliance and intended actions following the Panel hearing and Panel decision; statements about the Reverse Stock Split and the anticipated and potential effects thereof, including with respect to the Common Stock and the Company's Nasdaq listing; and statements about the Company's intentions and plans including anticipated actions and requests in connection with the Nasdaq process, statements about requested relief from Nasdaq or the Panel or the type of relief that may be available; statements regarding plans that the Company may implement or actions that the Company may take in furtherance of regaining compliance and other statements that are predictive in nature. These forward-looking statements are based on current expectations, estimates, forecasts and projections about the industry and markets in which the Company operates and management's current beliefs and assumptions.

These statements may be identified by the use of forward-looking expressions, including, but not limited to, "expect," "anticipate," "intend," "plan," "believe," "estimate," "potential, "predict," "project," "should," "would" and similar expressions and the negatives of those terms. These statements relate to future events or the Company's financial performance and involve known and unknown risks, uncertainties, and other factors which may cause actual results, performance or achievements to be materially different from any future results, performance or achievements expressed or implied by the forward-looking statements. Such factors include those set forth in "Risk Factors" in the Company's most recent Annual Report on Form 10-K, the Company's Quarterly Reports on Form 10-Q filed since such Annual Report on Form 10-K, and the Company's other filings from time to time with the SEC. Prospective investors are cautioned not to place undue reliance on such forward-looking statements, which speak only as of the date of this Current Report on Form 8-K. The Company undertakes no obligation to publicly update any forward-looking statement, whether as a result of new information, future events or otherwise.

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**Item 9.01. Financial Statements and Exhibits.**

(d) Exhibits.

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| | |
|:---|:---|
| **Exhibit**<br> **Number** | **Description** |
| 3.1 | [Certificate of Amendment of the Amended and Restated Certificate of Incorporation of Reviva Pharmaceuticals Holdings, Inc., dated March 4, 2026.](ex_926125.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **REVIVA PHARMACEUTICALS HOLDINGS, INC.** | **REVIVA PHARMACEUTICALS HOLDINGS, INC.** |
| Date: March 5, 2026 | By: | */s/ Narayan Prabhu* |
|  |  | Narayan Prabhu |
|  |  | Chief Financial Officer |

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## Exhibit 3.1

**Exhibit 3.1**

**CERTIFICATE OF AMENDMENT**<br> **OF THE**<br> **AMENDED AND RESTATED CERTIFICATE OF INCORPORATION**<br> **OF**<br> **REVIVA PHARMACEUTICALS HOLDINGS, INC.**

Reviva Pharmaceuticals Holdings, Inc. (the "Corporation"), a corporation duly organized and validly existing under and by virtue of the General Corporation Law of the State of Delaware (the "DGCL");

**DOES HEREBY CERTIFY AS FOLLOWS:**

**FIRST:** That the Amended and Restated Certificate of Incorporation of the Corporation, as amended (as heretofore amended, the "Amended and Restated Certificate of Incorporation"), is hereby amended as follows:

Article IV of the Amended and Restated Certificate of Incorporation be and hereby is amended by adding, immediately after Section B.3 of Article IV, the following (which shall be a new Section B.4 of Article IV):

"4. <u>Reverse Stock Split</u>. Upon the effectiveness ("Effective Time") of this amendment to the Certificate of Incorporation, a one-for-twenty reverse stock split (the "Reverse Split") of the Common Stock shall become effective, pursuant to which each twenty (20) shares of Common Stock outstanding and held of record by each stockholder of the Corporation or held in treasury by the Corporation immediately prior to the Effective Time ("Old Common Stock") shall automatically, and without any action by the holder thereof, be reclassified and combined into one (1) validly issued, fully paid and non-assessable share of Common Stock ("New Common Stock"), subject to the treatment of fractional interests as described below and with no corresponding reduction in the number of authorized shares of Common Stock. The Reverse Split shall also apply to any outstanding securities or rights convertible into, or exchangeable or exercisable for, Old Common Stock and all references to such Old Common Stock in agreements, arrangements, documents and plans relating thereto or any option or right to purchase or acquire shares of Old Common Stock shall be deemed to be references to the New Common Stock or options or rights to purchase or acquire shares of New Common stock, as the case may be, after giving effect to the Reverse Split.

No fractional shares of Common Stock will be issued in connection with the Reverse Split. If, upon aggregating all of the Common Stock held by a holder of Common Stock immediately following the Reverse Split a holder of Common Stock would otherwise be entitled to a fractional share of Common Stock, the Corporation shall issue to such holder such fractions of a share of Common Stock as are necessary to round the number of shares of Common Stock held by such holder up to the nearest whole share.

Each holder of record of a certificate or certificates for one or more shares of the Old Common Stock shall be entitled to receive as soon as practicable, upon surrender of such certificate, a certificate or certificates representing the largest whole number of shares of New Common Stock to which such holder shall be entitled pursuant to the provisions of the immediately preceding paragraphs. Each stock certificate that, immediately prior to the Effective Time, represented shares of Old Common Stock that were issued and outstanding immediately prior to the Effective Time shall, from and after the Effective Time, automatically and without the necessity of presenting the same for exchange, represent that number of whole shares of New Common Stock after the Effective Time into which the shares formerly represented by such certificate have been reclassified, subject to adjustment for fractional shares as described above."

**SECOND:** That the amendment set forth in this Certificate of Amendment was duly adopted by the Board of Directors of the Corporation and the stockholders of the Corporation in accordance with Section 242 of the DGCL.

**THIRD:** That said amendment will have an Effective Time of 12:01 a.m., Eastern Time, on March 9, 2026.

[*Signature Page Follows*]

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**IN WITNESS WHEREOF**, the undersigned has duly executed this Certificate of Amendment on this 4th day of March, 2026.

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| | |
|:---|:---|
| **REVIVA PHARMACEUTICALS HOLDINGS, INC.** | **REVIVA PHARMACEUTICALS HOLDINGS, INC.** |
| By: | /s/ *Laxminarayan Bhat* |
| Name: Laxminarayan Bhat | Name: Laxminarayan Bhat |
| Title: Chief Executive Officer | Title: Chief Executive Officer |

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