{"url_path":"/sec/petv/10-k/2026/item-5","section_key":"item-5","section_title":"Item 5 MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS, AND ISSUER PURCHASES OF EQUITY SECURITIES**","topic":"sec","document":{"doc_type":"10-K","doc_date":"2026-06-29","source_url":"https://www.sec.gov/Archives/edgar/data/1512922/0001493152-26-031136-index.html","accession_number":"0001493152-26-031136","cik":"0001512922","ticker":"PETV","issuer_name":"PetVivo Holdings, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1512922/0001493152-26-031136-index.html","primary_entity_key":"0001512922","primary_entity_name":"PetVivo Holdings, Inc."},"word_count":1747,"has_tables":true,"body_markdown":"**ITEM\n5. MARKET FOR REGISTRANT’S COMMON EQUITY, RELATED STOCKHOLDER MATTERS, AND ISSUER PURCHASES OF EQUITY SECURITIES**\n\n \n\n**Market\nInformation**\n\n \n\nThe\nCompany’s common stock is publicly traded on the OTC Markets Group OTCQX Best Market tier under the symbol\n“PETV.”\n\n \n\n**Number\nof Stockholders**\n\n \n\nAs\nof March 31, 2026, there were approximately 258 stockholders of record. The number of stockholders of record does not include certain\nbeneficial owners of our common stock, whose shares are held in the names of various dealers, clearing agencies, banks, brokers, and\nother fiduciaries.\n\n \n\n**Dividends**\n\n \n\nWe\nhave never declared or paid any cash dividends on our common stock and anticipate that for the foreseeable future all earnings will be\nretained for use rather than paid out as cash dividends.\n\n \n\n**Unregistered\nSales of Securities**\n\n** **\n\nIn\nApril 2024, the Company issued 430,798 shares in connection with the conversion of a convertible note plus interest in exchange for proceeds\nof $301,558 at a price of $0.70 per share.\n\n \n\nFrom\nApril 2024 to May 2024, the Company issued 1,889,434 shares of common stock at a price of $0.70 per share in exchange for proceeds of\n$1,322,600.\n\n \n\nFrom\nApril 2024 to June 2024, the Company issued 376,000 shares of common stock to service providers for consulting services valued at $590,160.\n\n \n\nFrom\nApril 2024 to June 2024, the Company issued 150,000 shares of common stock upon the vesting of restricted stock units.\n\n \n\nFrom\nJuly 2024 to September 2024, the Company issued 120,000 shares of common stock to service providers for consulting services valued at\n$56,020.\n\n \n\nFrom\nJuly 2024 to September 2024, the Company issued 42,312 shares of common stock upon the vesting of restricted stock units.\n\n \n\nIn\nOctober 2024, the Company issued 240,000 shares of common stock to its executive officers, in lieu of compensation valued at $132,000.\n\n \n\nIn\nOctober 2024, the Company returned 25,000 shares that were returned by an executive officer for cancellation of shares in lieu of compensation\nvalued at $13,750.\n\n \n\nFrom\nOctober 2024 to December 2024, the Company issued 162,812 shares of common stock upon the vesting of restricted stock units.\n\n \n\nIn\nOctober 2024 to November 2024, the Company issued 225,000 shares of common stock at a price of $0.50 per share in exchange for proceeds\nof $112,500.\n\n \n\nFrom\nOctober 2024 to December 2024, the Company issued 85,000 shares of common stock to service providers for consulting services valued at\n$37,780.\n\n \n\nIn\nDecember 2024, the Company issued 375,000 shares to its executive officers for performance services valued at $150,750.\n\n \n\nIn\nDecember 2024, the Company issued 121,808 shares of common stock to its executive officers for conversion of accrued bonuses valued at\n$50,000.\n\n \n\nIn\nJanuary 2025 to February 2025, the Company issued 946,154 shares in connection with the sale of stock at a price of $0.65 per share in\nexchange for proceeds of $615,000.\n\n \n\n25\n\n \n\n \n\nIn\nJanuary 2025 to February 2025, the Company issued 70,000 shares to employees for performance services valued at $41,500.\n\n \n\nIn\nFebruary 2025, the Company issued 20,000 shares to a Board Director for consulting services valued at $10,800.\n\n \n\nIn\nFebruary 2025, the Company issued 1,000,000 shares of common stock for purchase of an exclusive licensing agreement valued at $1,000,000.\n\n \n\nFrom\nJanuary 2025 to March 2025, the Company issued 144,000 shares of common stock to service providers for consulting services valued at\n$104,780.\n\n \n\nFrom\nJanuary 2025 to March 2025, the Company issued 72,812 shares of common stock upon the vesting of restricted stock units.\n\n \n\nIn\nMarch 2025, the Company issued 230,770 shares of common stock for an investment in Digital Landia valued at $150,000.\n\n \n\nIn\nMarch 2025, the Company issued 225,000 shares of common stock to its executive officers for performance services valued at $156,250.\n\n \n\nIn\nMarch 2025, the Company issued 68,628 shares of common stock to its executive officers for conversion of accrued bonuses valued at $35,000.\n\n \n\nIn\nMarch 2025, the Company issued 150,072 shares of common stock to employees and Board Directors for stock option buyout program valued\nat $72,808.\n\n \n\nIn\nMarch 2025, the Company issued 2,317 shares of common stock related to a cashless warrant exercise.\n\n \n\nIn\nApril 2025, the Company issued 20,000 shares to service providers for consulting services valued at market on the date of grant of $12,640.\n\n \n\nIn\nApril 2025, the Company issued 52,500 shares of common stock upon the vesting of restricted stock units issued to 6 board members.\n\n \n\nIn\nMay 2025, the Company issued 20,000 shares to service providers for consulting services valued at market on the date of grant of $15,160.\n\n \n\nIn\nJune 2025, the Company issued 8,000 shares to a consultant in connection with the conversion of an outstanding accounts payable balance\nof $6,000.\n\n \n\nIn\nJune 2025, the Company issued 70,000 shares of common stock in connection with the exercise of a warrant in exchange for proceeds of\n$140,000.\n\n \n\nIn\nJune 2025, the Company issued 30,157 shares of common stock upon the vesting of restricted stock units issued to 2 employees.\n\n \n\nIn\nJuly 2025, the Company issued 52,500 shares of common stock upon the vesting of restricted stock units issued to 6 board members.\n\n \n\nIn\nJuly 2025, the Company issued 19,372 shares to a service provider for consulting services valued at market on the date of grant of $15,000.\n\n \n\nIn\nJuly and September 2025, the Company issued 707,669 shares of common stock to various employees for performance services valued at market\non the date of grant of $558,660.\n\n \n\nIn\nJuly 2025, the Company issued 3,045,000 shares of common stock for conversion of Series A Preferred Stock.\n\n \n\nIn\nSeptember 2025, the Company issued 38,138 shares of common stock for conversion of accrued dividends on Series B Preferred Stock valued\nat $28,604.\n\n \n\nIn\nSeptember 2025, the Company issued 1,000,000 shares of common stock for purchase of exclusive licensing agreement valued at $800,000.\n\n \n\nIn\nSeptember 2025, the Company issued 20,000 shares of common stock upon the vesting of restricted stock units issued to an employee.\n\n \n\nIn\nSeptember 2025, the Company issued 3,669,806 shares of common stock for the conversion of $1,850,000 in convertible notes plus accrued\ninterest of $168,154 for a total value of $2,018,154.\n\n \n\nIn\nOctober 2025, the Company issued 89,935 shares of common stock to the board of directors for advisory services and compensation fair\nvalued at $107,024.\n\n \n\nIn\nOctober and December 2025, the Company issued 411,286 shares of common stock to employees for performance services fair valued at $480,895.\n\n \n\nIn\nOctober 2025, the Company issued 105,042 shares of common stock for conversion of accrued dividends on Series B Preferred Stock\nvalued at $125,000.\n\n \n\n26\n\n \n\n \n\nIn\nOctober, November, and December 2025, the Company issued 870,000 shares of common stock in connection with the exercise of warrants in\nexchange for proceeds of $711,750.\n\n \n\nIn\nDecember 2025, the Company issued 20,000 shares of common stock upon the vesting of restricted stock units issued to an employee.\n\n \n\nIn\nJanuary 2026, the Company issued 109,650 shares of common stock for conversion of accrued dividends on Series B Preferred Stock valued\nat $125,000.\n\n \n\nIn\nJanuary and March 2026, the Company issued 200,148 shares of common stock to employees for performance services fair valued at $141,330.\n\n \n\nIn\nJanuary and March 2026, the Company issued 136,332 shares of common stock to the board of directors for compensation valued at $98,640.\n\n \n\nIn\nJanuary 2026 to March 2026, the Company issued 843,750 shares of common stock in connection with the sale of stock at a price of $0.80\nper share in exchange for proceeds of $675,000.\n\n \n\nIn January to March 2026, the Company issued 109,097 shares of common stock\nto service providers for consulting and advisory services valued at market on the date of grant of $119,482.\n\n \n\nAll\nof these transactions described above were exempt from registration in reliance on Section 4(a)(2) of the Securities Act of 1933, as\namended, as a transaction by an issuer not involving a public offering. The purchasers of securities in each of these transactions represented\ntheir intention to acquire securities for investment only and not with a view to offer or sell, in connection with any distribution of\nthe securities, and appropriate legends were affixed to the share certificates and instruments issued in such transactions.\n\n** **\n\n**Purchases\nof Equity Securities by the Registrant and Affiliated Purchasers**\n\n \n\nNone.\n\n \n\n**Securities\nAuthorized for Issuance**\n\n \n\nThe\nfollowing table sets forth securities authorized for issuance under any equity compensation plan approved by our stockholders as well\nas any equity compensation plans not approved by our stockholders as of March 31, 2026.\n\n \n\nEquity Compensation Plan Information\n\n  \n   \n   \n  \n\nPlan category \nNumber of securities to be issued upon exercise of outstanding options, warrants, and rights  \nWeighted average exercise price of outstanding options, warrants, and rights  \nNumber of Securities remaining available for future issuance under equity compensation plans (excluding securities reflect in table) \n\n**Plans approved by shareholders(1)** \n 1,140,933  \n$2.58  \n 20,000 \n\n**Plans not approved by shareholders(2)** \n 562,817  \n$2.00  \n — \n\n \n\n(1)\nPetVivo\nHoldings, Inc. Amended and Restated 2020 Equity Incentive Plan.\n\n \n\n(2)\nRepresents\nwarrants granted to officers, directors, employees, financial advisors, consultants, investors, and other service providers pursuant\nto individual contracts, investments, awards, or arrangements for compensatory purposes.\n\n \n\n**Use\nof proceeds from our initial public offering of common stock**\n\n** **\n\nOn\nAugust 13, 2021, we completed our Public Offering pursuant to which we issued and sold an aggregate of 2,500,000 units at the public\noffering price of $4.50 per unit. Each unit consisted of one share of our common stock and one warrant to purchase one share of our common\nstock at an exercise price of $5.625 per share. The shares of common stock and warrants were transferable separately immediately upon\nissuance. At the closing of the Public Offering, the underwriter exercised its over-allotment option to purchase an additional 375,000\nwarrants for an aggregate purchase price of $3,850.\n\n \n\nThe\noffer and sale of all of the units in our Public Offering were registered under the Securities Act pursuant to a registration statement\non Form S-1, as amended (File No. 333-249452), which was declared effective by the SEC on August 10, 2021 (“Registration Statement”).\nThinkEquity, a division of Fordham Financial Management, Inc. acted as the sole book-running manager for the Public Offering. In connection\nwith the Public Offering, the Company’s common stock and warrants were registered under Section 12(b) of the Exchange Act and began\ntrading on The Nasdaq Capital Market, LLC under the symbols “PETV” and “PETVW,” respectively.\n\n \n\n27\n\n \n\n \n\nWe\nreceived aggregate gross proceeds from our Public Offering of $11,253,850 (inclusive of the underwriter’s exercise of its overallotment\noption to purchase warrants). After deducting underwriting discounts and commissions and other offering expenses, we received net proceeds\nof approximately $9,781,000 from the Public Offering."}