SEC Filing Document

Company: BIOVENTRIX, INC.
Ticker: 
CIK: 1283259
Filing Type: S-1/A
Document Type: S-1/A
Date Filed: 2026-03-18
Accession Number: 0001493152-26-010642
Exchange: 
SIC Code: 3841
SIC Description: Surgical & Medical Instruments & Apparatus
URL: https://www.sec.gov/Archives/edgar/data/1283259/000149315226010642/forms-1a.htm

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409A. Restricted stock units are subject to Section 409A unless they are settled within two and one-half months after the end of the later of (1) the end of our fiscal year in which vesting occurs or (2) the end of the calendar year in which vesting occurs. If an award is subject to Section 409A and the provisions for the exercise or settlement of that award do not comply with Section 409A, then the participant would be required to recognize ordinary income whenever a portion of the award vested (regardless of whether it had been exercised or settled). This amount would also be subject to a 20% federal tax and premium interest in addition to the federal income tax at the participant’s usual marginal rate for ordinary income. Policies and Practices Related to the Grant of Certain Equity Awards Close in Time to the Release of Material Nonpublic Information

currently grant equity awards to our employees at the discretion of the board of directors. We do not have a written policy regarding
the timing of the grant of equity awards, but we do not grant equity awards in anticipation of the release of material nonpublic information,
nor do we time the release of material nonpublic information based on equity award grant dates.

Director
Compensation

Other
than as set forth in the table above relating to their capacity as officers, our board members did not pay any compensation, reimburse
any expense of, make any equity awards or non-equity awards to, or pay any other compensation to, any of the other non-employee members
of the Board in the fiscal year ended December 31, 2025.

PRINCIPAL
STOCKHOLDERS

The
following table sets forth certain information concerning the ownership of our common stock as of the date of this prospectus, with respect
to: (i) each person, or group of affiliated persons, known to us to be the beneficial owner of 5% or more of our common stock; (ii) each
of our directors; (iii) each of our named executive officers; and (iv) all of our current directors and executive officers as a group.

Applicable
percentage ownership is based on 13,516,632 shares of our common stock outstanding as of the date of this prospectus, which includes
7,803,987 shares of common stock being issued upon the closing of this offering in connection with the conversion of: (i) 1,302,950
shares of our existing Series A Preferred Stock into 1,302,950 shares of common stock (assuming an initial public offering price
of at least $10.00 and an assumed conversion price of $10.00), and (ii) $12,499,157, of our existing Series A Secured Convertible
Notes and A-1 Secured Convertible Notes into 6,501,037 shares of our common stock as of the date of this prospectus (assuming
an initial public offering price of at least $10.00 and an assumed conversion price of $10.00). In addition, the number of shares and
percentage of beneficial ownership after the offering assumes the sale and gives effect to the issuance by us of shares of common stock
in this offering and assuming an initial public offering price of $        per share (the mid-point
of the price range set forth on the cover page of this prospectus). The percentage ownership information assumes no exercise of the underwriters
of their’ over-allotment option to purchase additional shares of common stock.

have determined beneficial ownership in accordance with the rules of the SEC. These rules generally attribute beneficial ownership of
securities to persons who possess sole or shared voting or investment power with respect to such securities. In addition, pursuant to
such rules, we deemed outstanding shares of common stock subject to options or warrants held by that person that are currently exercisable
or exercisable within 60 days of the date of this prospectus. We did not deem such shares outstanding, however, for the purpose of computing
the percentage ownership of any other person. Except as indicated by the footnotes below, we believe, based on the information furnished
to us, that the beneficial owners named in the table below have sole voting and investment power with respect to all shares of our common
stock that they beneficially own, subject to applicable community property laws.

Shares of common stock
Beneficially Owned Prior to
Offering Shares of common stock
Beneficially Owned After
Offering

Name and Address of Beneficial Owner (1) Number (7) (8) Percentage (2) Number Percentage (3)

Executive Officers and Directors

Steve Chartier 110,530 0.82	% *

Ori Ben-Yehuda 110,000 0.81	% *

David Richmond 4,119,644	(4) 30.48	% [●]	%

Mark Ravich 1,015,018	(6) 7.51	% [●]	%

Rishi Puri –

William T. Abraham –

All directors and executive officers as a group (6 individuals) 5,355,191 39.62	% %

5% or Greater Stockholders

Michael Taglich 1,128,499	(5) 8.35	% [●]	%

Less than 1%.

(1)	Except
as otherwise indicated, the business address of our directors and executive officers is 120 Forbes Blvd., Suite 125, Mansfield, MA

(2)	Based
on 13,516,632 shares of common stock outstanding as of the date of this prospectus.

(3)	Based
on [●] shares of common stock outstanding immediately after this offering assuming no exercise of the underwriters’
over-allotment option.

(4)	Includes
(a) 194,000 shares of common stock directly held by Mr. Richmond (including 25,665 shares of common stock from Second RSA Grant 2024
and 18,335 shares of common stock from Second RSA Grant 2025), (b) 2,524,268 shares of common stock, comprised of 148,400 Series
A shares convertible into common stock and $2,396,926 Secured Convertible Notes held by RBI BioVentrix LLC convertible into
2,396,926 shares of common stock, (c) 461,223 shares of common stock comprised of 385,832 shares of common stock and 75,391
Series A shares convertible into common stock held by RBI Opportunities Fund LLC, (d) 355,595 shares of common stock comprised of
311,668 shares of common stock and 43,927 Series A shares convertible into common stock held by RBI BV Private Investment, (e) 277,590
common shares comprised of 226,025 shares of common stock and 51,565 Series A shares convertible into common stock held by RBI Private
Investment III LLC, (f) 255,740 shares, comprised of 215,077 shares of common stock and 40,663 Series A shares convertible into common
stock held by RBI Opportunities Fund II LLC, (g) 11,199 shares comprised of 8,300 shares of common stock and 2,899 Series A shares
convertible into common stock held by David Richmond & Stephanie Richmond, (h) 9,486 shares comprised of 8,123 shares of common
stock and 1,363 Series A shares convertible into common stock held by RBI Private Investment I LLC, and (i) 9,485 shares, comprised
of 8,123 shares of common stock and 1,362 Series A shares convertible into common stock held by Richmond Brothers Inc. Mr. Richmond
is the Manager and has voting and investment control of RBI BioVentrix LLC, RBI Opportunities Fund LLC, RBI BioVentrix, LLC, RBI
BV Private Investment, RBI Private Investment III LLC, RBI Opportunities Fund II LLC, David Richmond & Stephanie Richmond, RBI
Private Investment I LLC, and Richmond Brothers Inc, (collectively, the “Richmond Entities”). Mr. Richmond disclaims
any beneficial ownership of the securities held by the Richmond Entities, other than to the extent of any pecuniary interest he may
have therein, directly or indirectly.

(5)	Includes
(a) 119,902 shares of common stock directly held by Mr. Taglich, (b) 103,654 shares of common stock held by Taglich
Brothers Inc., (c) 84,408 shares of common stock held by Michael N. Taglich & Claudia Taglich, (d) 177 shares of common stock
held by Claudia Ruggiero Taglich, (e) 3,179 shares of common stock held by Michael Taglich C/F Amanda Taglich UTMA NY, (f) 3,179
shares of common stock held by Michael Taglich C/F Lucy Taglich UTMA NY, (g) 3,179 shares of common stock held by Michael Taglich
C/F Stella Taglich UTMA NY, (h) 130,142 shares of common stock held by Michael N. Taglich Keogh Account, (i) 3,179 shares of common
stock held by Michael Taglich TTEE Hope A Taglich Supplemental Needs Trust UAD 8/23/17, and (j) 677,500 Series A shares convertible
into common stock held by Bioventrix investors LLC. Mr. Taglich is the President of Taglich Brothers Inc., Michael N. Taglich Keogh
Account, Michael Taglich TTEE Hope A Taglich Supplemental Needs Trust UAD 8/23/17, and Bioventrix investors LLC and has voting and
investment control over the shares held by Michael N. Taglich & Claudia Taglich, Claudia Ruggiero Taglich, Michael Taglich C/F
Amanda Taglich UTMA NY, Michael Taglich C/F Lucy Taglich UTMA NY, and Michael Taglich C/F Stella Taglich UTMA NY (collectively, the
“Taglich Entities”). Mr. Taglich disclaims any beneficial ownership of the securities held by the Taglich Entities, other
than to the extent of any pecuniary interest he may have therein, directly or indirectly.