ENCISION INC

Overview

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• TickerECIA on OTC¹
• IndustrySurgical & Medical Instruments & Apparatus¹
• HeadquartersBoulder, Colorado¹
• Incorporated inCO³
• Business address6797 Winchester Circle, Boulder, Co 80301³
• Filer categoryNon-accelerated filer, Smaller reporting company³
• Legal formCorporation

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This market for laparoscopic monopolar electrosurgical instruments is the market we are targeting with our innovative AEM Surgical Instruments.⁴ From its latest annual report

Corporate structure

ENCISION INC sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What ENCISION INC reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Investments

Intangibles and goodwill

Inventory

Properties, in its own words

We lease 28,696 square feet of office and manufacturing space under non-cancelable lease agreements through October 31, 2026, at 6797 Winchester Circle, Boulder, Colorado. We believe that our existing facilities are adequate for our current operations.

Item 2 of the 10-K filed Jul 10, 2025.⁴

Leadership

Who has led ENCISION INC, and when. Pick a name to see everywhere that person has worked.

• Chief executive officerRobert H. Fries May 18, 2026 to now¹⁶
• Chief executive officerGregory J. Trudel Dec 23, 2013 to May 18, 2026¹⁷
• Chief executive officerFred Perner Sep 28, 2011 to Jun 5, 2013¹⁸
• Chief executive officerJohn R. Serino Mar 12, 2008 to Jun 20, 2011¹⁹
• ChairPatrick W. Pace Dec 2, 2013 to Dec 16, 2013²⁰
• PresidentFred Perner Sep 28, 2011 to Jun 5, 2013¹⁸
• PresidentJohn R. Serino Mar 12, 2008 to Jun 20, 2011¹⁹
• Chief operating officerPeter D. Geary Aug 22, 2019 to Dec 17, 2019²¹

Former names

• ELECTROSCOPE INCOct 31, 1996 to Aug 1, 2000³

Timeline

1. May 18, 2026New chief executive Robert H. Fries becomes CEO¹⁶
2. Jan 29, 20268-K Other events⁴⁸
3. Dec 12, 20258-K Executive or director change⁴⁹
4. Nov 3, 20258-K Executive or director change⁵⁰
5. Aug 22, 20258-K Entered a material agreement; Unregistered sale of shares; Shareholder vote⁵¹
6. Aug 15, 20248-K Results of operations⁵²
7. Aug 15, 20248-K Shareholder vote⁵³
8. Jul 15, 20248-K Results of operations⁵⁴
9. Apr 23, 20248-K Executive or director change⁵⁵
10. Feb 14, 20248-K Results of operations⁵⁶
11. Nov 14, 20238-K Results of operations⁵⁷
12. Oct 23, 20238-K Change of auditor⁵⁸
13. Aug 30, 20238-K Executive or director change⁵⁹
14. Dec 23, 2013New chief executive Gregory J. Trudel becomes CEO¹⁷
15. Sep 28, 2011New chief executive Fred Perner becomes CEO¹⁸
16. Mar 12, 2008New chief executive John R. Serino becomes CEO¹⁹

Calendar

When it reported results

1. Aug 15, 2024Reported quarterly or annual results⁵²
2. Jul 15, 2024Reported quarterly or annual results⁵⁴
3. Feb 14, 2024Reported quarterly or annual results⁵⁶
4. Nov 14, 2023Reported quarterly or annual results⁵⁷
5. Aug 3, 2023Reported quarterly or annual results⁶⁰
6. Jun 22, 2023Reported quarterly or annual results⁶¹
7. Feb 7, 2023Reported quarterly or annual results⁶²
8. Nov 14, 2022Reported quarterly or annual results⁶³

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

147 filings to the SEC since October 2021: 7 annual reports, 15 quarterly reports, 25 major events, 67 insider forms, 7 large holders, 2 private raises, 24 other. The latest 20:

1. Sep 17, 2026D EDGAR
2. Jun 10, 202615-12G/A EDGAR
3. May 18, 20264 PRIMARY DOCUMENT EDGAR
4. Feb 9, 2026EFFECT EDGAR
5. Feb 4, 2026EFFECT EDGAR
6. Feb 4, 2026S-8 POS EDGAR
7. Feb 4, 2026S-8 POS EDGAR
8. Feb 4, 2026S-8 POS EDGAR
9. Feb 4, 2026S-8 POS EDGAR
10. Feb 4, 2026POS AM EDGAR
11. Feb 4, 2026POS AM EDGAR
12. Jan 29, 202615-12G EDGAR
13. Jan 29, 20268-K EDGAR
14. Dec 12, 20258-K EDGAR
15. Nov 20, 20254 PRIMARY DOCUMENT EDGAR
16. Nov 20, 20254 PRIMARY DOCUMENT EDGAR
17. Nov 20, 20254 PRIMARY DOCUMENT EDGAR
18. Nov 13, 202510-Q EDGAR
19. Nov 3, 20258-K EDGAR
20. Sep 10, 2025D EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

13 open-market trades by officers, directors and large owners since October 2021: 13 buys and 0 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• Brandon Jason ShepardSCHEDULE 13D, 1 filing Aug 26, 2025⁶⁴
• Gregory J. TrudelSCHEDULE 13D, 1 filing Aug 26, 2025⁶⁵
• Robert H. FriesSCHEDULE 13D, 1 filing Aug 26, 2025⁶⁶
• Thalassa Holdings LtdSCHEDULE 13D, 1 filing Mar 7, 2025⁶⁷
• DAFNA Capital Management LLCSC 13G/A, 3 filings Feb 14, 2022 to Feb 14, 2024⁶⁸

Funding

Where the company's money came from, by calendar year: private offerings filed with the SEC, federal grants, loans, contracts and other assistance from USAspending.gov, and PPP loans from the SBA. Each bar links to the records below.

Private raises

Private offerings the company reported to the SEC on Form D. The amount is what the latest filing says was sold so far, charted in the year of the first sale. Covers filings since Oct 1, 2021.

1. Sep 8, 2026Raised $80,000 in a private offering of equity⁶⁹ Form D: 2 investors so far Form D
2. Aug 19, 2025Raised $500,000 in a private offering of equity⁷⁰ Form D: 6 investors so far Form D

SEC filer profile

How ENCISION INC is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARENCISION INC¹
• CIK0000930775
• Employer ID (EIN)84-1162056⁴
• Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; a shell company⁴
• Incorporated inColorado⁴
• Fiscal year endsMarch 31¹
• Industry code (SIC)3841 Surgical & Medical Instruments & Apparatus¹
• SEC reviewing officeOffice of Industrial Applications and Services, Division of Corporation Finance¹
• Business address6797 Winchester Circle, Boulder, CO 80301¹
• Phone303-444-2600¹
• Shares outstanding16,879,645 as of Nov 10, 2025¹³
• Public float$2.7M as of Sep 30, 2024⁴
• AuditorGreen Growth CPAs, Los Angeles, California PCAOB ID 6580; it also attests to the company’s internal control over financial reporting⁴
• On EDGAR sinceJun 4, 1996¹
• Filings745 in all: 4 (267), 8-K (167), 10-Q (54), 10QSB (35), DEF 14A (30), 3 (21), SC 13G/A (19), 10-K (17)¹
  All 46 form types

  SC 13D/A (15), 4/A (13), 10KSB (11), SC 13G (9), SC 13D (8), S-8 (6), UPLOAD (6), 10-K/A (5), D (5), CORRESP (4), EFFECT (4), NT 10-K (4), S-8 POS (4), SCHEDULE 13D (4), 424B3 (3), 8-K/A (3), POS AM (3), SD (3), 10-Q/A (2), CT ORDER (2), NT 10-Q (2), PRE 14A (2), S-1/A (2), 10KSB/A (1), 10KSB40 (1), 10KSB40/A (1), 15-12G (1), 15-12G/A (1), 25-NSE (1), 8-A12B (1), 8-A12G (1), CERTAMX (1), D/A (1), REGDEX (1), S-1 (1), S-3 (1), SB-2 (1), SB-2/A (1)

• Latest filingsAnnual report (10-K) Jul 10, 2025
  Quarterly report (10-Q) Nov 13, 2025
  Proxy statement (DEF 14A) Jul 14, 2025
  Latest 8-K (8-K) Jan 29, 2026

Securities registered for trading

From the cover page of the 10-K filed Jul 10, 2025 (Section 12(b) of the Exchange Act).⁴

Risk factors and legal proceedings

The risks ENCISION INC names in Item 1A of its 10-K filed Jul 10, 2025: 13 risks under these headings, as written.⁴

• We need to continually develop and train our network of direct and independent sales representatives and expand our distribution efforts in order to be successful.
• We may need additional funding to support our operations.
• We may not be able to compete successfully against current manufacturers of conventional (“unshielded, unmonitored”) electrosurgical instruments or against competitors who manufacture products that are based on surgical technologies that are alternatives to monopolar electrosurgery.
• If we do not continually enhance our products and keep pace with rapid technological changes, we may not be able to attract and retain customers.
• If government regulations change or if we fail to comply with existing and/or new regulations, we might miss market opportunities and experience increased costs and limited growth.
• If we fail to comply with the extensive regulatory requirements governing the manufacturing of our products, we could be subject to fines, suspensions or withdrawals of regulatory approvals, product recalls, suspension of manufacturing, operating restrictions and/or criminal prosecution.
• Our current patents, trade secrets and know-how may not provide a competitive advantage, the pending applications may not result in patents being issued, and our competitors may design around any patents issued to us.
• We depend on single source suppliers for certain of the key components of our products and sub-contractors to provide much of the materials used in the manufacturing of our products. The loss of a supplier or limitation in supply from existing suppliers could have a material adverse effect on our ability to manufacture our products until a new source of supply is located.
• The potential fluctuation in future quarterly results may cause our stock price to fluctuate.
• Our common stock is thinly traded, the prices at which it trades are volatile and the buying or selling actions of a few shareholders may adversely affect our stock price.
• Product liability claims may exceed our current insurance coverage.
• We depend on certain key personnel.

Legal proceedings

From time to time, we are involved in various disputes, claims, suits, investigations, and legal proceedings arising in the ordinary course of business. We believe that the resolution of current pending legal matters will not have a material adverse effect on our business, financial condition, results of operations, or cash flows. Nonetheless, we cannot predict the outcome of these proceedings, as legal matters are subject to inherent uncertainties, and there exists the possibility that the ultimate resolution of these matters could have a material adverse effect on our business, financial condition, results of operations, or cash flows.

The opening of Item 3, Legal Proceedings.⁴