SABSW / SAB Biotherapeutics, Inc. - Equity Warrant - Документы SEC, Годовой отчет, Доверенное заявление

Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

ABOUT THIS PROSPECTUS TRADEMARKS PROSPECTUS SUMMARY RISK FACTORS CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS USE OF PROCEEDS SELLING STOCKHOLDERS PLAN OF DISTRIBUTION LEGAL MATTERS EXPERTS WHERE YOU CAN FIND MORE INFORMATION INCORPORATION OF

As filed with the Securities and Exchange Commission on September 2, 2025 Registration No.

INFORMATION ABOUT THE SPECIAL MEETING AND VOTING PROPOSAL 1: TO APPROVE THE POTENTIAL ISSUANCE IN EXCESS OF 19.99% OF OUR OUTSTANDING COMMON STOCK UPON THE CONVERSION OF UP TO 2,500,000 SHARES OF SERIES B PREFERRED STOCK AT LESS THAN THE “MINIMUM PR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

INFORMATION ABOUT THE SPECIAL MEETING AND VOTING PROPOSAL 1: TO APPROVE THE POTENTIAL ISSUANCE IN EXCESS OF 19.99% OF OUR OUTSTANDING COMMON STOCK UPON THE CONVERSION OF UP TO 2,500,000 SHARES OF SERIES B PREFERRED STOCK AT LESS THAN THE “MINIMUM PR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of

PART II—OTHER INFORMATION

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

SAB BIO Announces Oversubscribed $175 Million Private Placement Participation from strategic investor Sanofi, along with new investors RA Capital Management, Commodore Capital, Vivo Capital, Blackstone Multi-Asset Investing, Spruce Street Capital, Fo

EXHIBIT 99.1 SAB BIO Announces Oversubscribed $175 Million Private Placement Participation from strategic investor Sanofi, along with new investors RA Capital Management, Commodore Capital, Vivo Capital, Blackstone Multi-Asset Investing, Spruce Street Capital, Forge Life Science Partners and Woodline Partners LP, and existing investors Sessa Capital, the T1D Fund, and ATW Partners Proceeds expecte

Form of Securities Purchase Agreement, dated July 21, 2025 by and among SAB Biotherapeutics, Inc. and the purchasers named therein

EXHIBIT 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of July 21, 2025, is entered into by and among SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”), and each of the entities listed on Exhibit A attached to this Agreement (each, an “Investor” and together, the “Investors”). WHEREAS, the Company and the Investors are executing a

Letter Agreement, dated July 21, 2025 by and between SAB Biotherapeutics, Inc. and RA Capital Healthcare Fund, L.P

EXHIBIT 10.4 BOARD DESIGNATION SIDE LETTER AGREEMENT This Board Designation Side Letter Agreement (this “Agreement”) is made as of July 21, 2025, by and between SAB Biotherapeutics, Inc. (the “Company”) and RA Capital Healthcare Fund, L.P. (the “Investor” and together with the Company, the “Parties” and each individually, a “Party”). Reference is hereby made to that certain Securities Purchase Agr

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

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): July 21, 2025 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Form of Registration Rights Agreement, dated July 21, 2025 by and among SAB Biotherapeutics, Inc. and the holders named therein

EXHIBIT 10.2 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of July [●], 2025, is entered into by and among SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”), and the several investors signatory hereto (individually as an “Investor” and collectively together with their respective permitted assigns, the “Investors”). Capitalized terms u

Form of Support Agreement, dated July 21, 2025 by and among SAB Biotherapeutics, Inc. and the holders named therein

EXHIBIT 10.3 SUPPORT AGREEMENT This SUPPORT AGREEMENT (this “Agreement”), dated as of [], 2025, is made by and among SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”) and the other persons and entities set forth on the signature pages hereto (the “Shareholders”). The Company and the Shareholders shall be referred to herein from time to time collectively as the “Parties.” Capitalize

Certificate of Designations of Preferences, Rights and Limitations of the Series B Convertible Non-Voting Preferred Stock

EXHIBIT 3.1 SAB BIOTHERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL”), does hereby certif

Form of Preferred Warrant

EXHIBIT 4.1 THIS WARRANT AND THE SHARES OF SERIES B CONVERTIBLE PREFERRED STOCK ISSUABLE UPON THE EXERCISE OF THIS WARRANT (THE “SECURITIES”) HAVE NOT BEEN REGISTERED UNDER SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED UNLESS (I) SUCH

Form of Preferred Warrant

EXHIBIT 4.2 THIS WARRANT AND THE SHARES OF SERIES B CONVERTIBLE PREFERRED STOCK ISSUABLE UPON THE EXERCISE OF THIS WARRANT (THE “SECURITIES”) HAVE NOT BEEN REGISTERED UNDER SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE SOLD, TRANSFERRED OR ASSIGNED UNLESS (I) SUCH

FORM 8-K Item 5.07 Submission of Matters to a Vote of Security Holders.

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): July 17, 2025 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SAB BIOTHERAPEUTICS, INC. NOTICE OF ANNUAL MEETING OF STOCKHOLDERS TO BE HELD ON JULY 17, 2025 INFORMATION ABOUT SOLICITATION AND VOTING QUESTIONS AND ANSWERS ABOUT THE MEETING BOARD OF DIRECTORS AND CORPORATE GOVERNANCE NOMINATIONS PROCESS AND DIREC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

PART II—OTHER INFORMATION

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

As filed with the Securities and Exchange Commission on April 3, 2025

As filed with the Securities and Exchange Commission on April 3, 2025 Registration No.

Filing Fee Table.

CALCULATION OF FILING FEE TABLES Form S-8 (Form Type) SAB Biotherapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-39871 SAB BIOTHERAPEU

List of Subsidiaries

Exhibit 21.1 LIST OF SUBSIDIARIES SAB Sciences, Inc., a Delaware Corporation Diversity Therapeutics, Inc., a Delaware Corporation SAB LLC, a South Dakota LLC SAB Capra LLC, a South Dakota LLC Aurochs LLC, a South Dakota LLC SAB BIO PTY LTD, a proprietary company in Australia limited by shares

Form of Indemnification Agreement.

Exhibit 10.4 INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (this “Agreement”) is made as of [], 2025, by and between SAB Biotherapeutics, Inc., a Delaware corporation, a Delaware corporation (the “Company”), and [] (“Indemnitee”). RECITALS WHEREAS, highly competent individuals have become more reluctant to serve publicly-held corporations as directors, officers or in other capacities un

Insider Trading Policy

Lease Agreement between SAB Biotherapeutics, Inc. and Sanford Health, dated February 1, 2025

EXHIBIT 10.1 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL LEASE AGREEMENT THIS LEASE AGREEMENT (the “Lease”), made effective as of the 1st day of February 2025 (the “Effective Date”), is by and between Sanford Health, a South Dakota non-pr

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): January 30, 2025 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

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

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): January 28, 2025 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

SAB BIO Announces Positive Topline Phase 1 Clinical Results with Potentially Disease-Modifying T1D Therapy SAB-142

EXHIBIT 99.1 SAB BIO Announces Positive Topline Phase 1 Clinical Results with Potentially Disease-Modifying T1D Therapy SAB-142 • SAB-142 was generally well-tolerated among healthy volunteers; data from Phase 1 trial confirms SAB-142 does not cause serum sickness or anti-drug antibodies at target dose • Study results support that SAB-142 is well-positioned for re-dosing in outpatient setting for t

Today’s Speakers Chairman and CEO Samuel Reich Alexandra Kropotova, MD Michael Haller, MD Chief Medical Officer & EVP Professor and Chief Pediatric Endocrinology University of Florida

SAB BIO INNOVATION DAY ACCELERATING DISEASE-MODIFYING TREATMENTS IN AUTOIMMUNITY January 28, 2025 (Nasdaq: SABS) EXHIBIT 99.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

SAB BIO Provides SAB-142 Clinical Trial Progress Update at the European Association for the Study of Diabetes Annual Meeting SAB-142 has completed Phase 1 enrollment of all planned cohorts in healthy volunteers and is progressing to enroll patients w

EXHIBIT 99.1 SAB BIO Provides SAB-142 Clinical Trial Progress Update at the European Association for the Study of Diabetes Annual Meeting SAB-142 has completed Phase 1 enrollment of all planned cohorts in healthy volunteers and is progressing to enroll patients with type 1 diabetes in the last cohort of the study. Target dose of SAB-142 2.5mg/kg completed with no observation of serum sickness. SAB

Protecting Pancreatic Beta Cells with Multi-target Immunotherapy: SAB-142 © 2024 SAB BIOTHERAPEUTICS, INC.

SAB Biotherapeutics European Association for the Study of Diabetes 60th Annual Meeting INNODIA SYMPOSIUM Madrid, Spain September 9, 2024 © 2024 SAB BIOTHERAPEUTICS, INC.

Regulation FD Disclosure, Financial Statements and Exhibits

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): September 09, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commi

As filed with the Securities and Exchange Commission on August 12, 2024

As filed with the Securities and Exchange Commission on August 12, 2024 Registration No.

SAB Biotherapeutics, Inc. 2021 Omnibus Equity Incentive Plan, as amended.

EXHIBIT 99.1 SAB BIOTHERAPEUTICS, INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN, AS AMENDED (Amended June 27, 2024) ARTICLE 1 EFFECTIVE DATE, OBJECTIVES AND DURATION 1.1 Effective Date of the Plan. The Board of Directors of SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”) originally adopted the SAB Biotherapeutics, Inc. 2021 Omnibus Equity Incentive Plan (the “Plan”) effective as of Oct

Filing Fee Table.

CALCULATION OF FILING FEE TABLES Form S-8 (Form Type) SAB Biotherapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

2021 Omnibus Equity Incentive Plan, as amended

EXHIBIT 10.2 SAB BIOTHERAPEUTICS, INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN, AS AMENDED (Amended June 27, 2024) ARTICLE 1 EFFECTIVE DATE, OBJECTIVES AND DURATION 1.1 Effective Date of the Plan. The Board of Directors of SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”) originally adopted the SAB Biotherapeutics, Inc. 2021 Omnibus Equity Incentive Plan (the “Plan”) effective as of Oct

SAB BIO Appoints Lucy To as Chief Financial Officer

Exhibit 99.1 SAB BIO Appoints Lucy To as Chief Financial Officer July 31, 2024 MIAMI, FL July 31, 2024 – SAB Biotherapeutics, Inc. (Nasdaq: SABS), (“SAB” or the “Company”), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that is developing human anti-thymocyte immunoglobulin (hIgG) for delaying the onset or progression of type 1 diabetes (T1D), today announced that L

Employment Agreement between SAB Biotherapeutics, Inc. and Lucy To dated July 26, 2024

Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated July 26, 2024 (the “Effective Date”), by and between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Company”), and Lucy To (the “Executive”). WHEREAS, the Company desires that the Executive join the Company to serve in the capacity of Chief Financial Officer of the Company, and the Executive has agreed

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

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): July 26, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Submission of Matters to a Vote of Security Holders

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): June 27, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Employment Agreement between SAB Biotherapeutics, Inc. and Mark Conley dated November 6, 2023

EXHIBIT 10.1 November 6, 2023 VIA EMAIL: Mark W. Conley [email protected] Dear Mr. Conley: SAB Biotherapeutics, Inc. (the “Company”) is pleased to offer you employment on the following terms: 1. Position and Duties. Your initial title will be Vice President of Finance and you will report directly to the Company’s Chief Financial Officer. In your capacity as Vice President of Finance, you will

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): May 26, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SAB Biotherapeutics Announces Departure of Chief Financial Officer

Exhibit 99.1 SAB Biotherapeutics Announces Departure of Chief Financial Officer May 30, 2024 MIAMI, Fla. May 30, 2024 - SAB Biotherapeutics (Nasdaq: SABS) (the “Company” or “SAB”), a clinical-stage biopharmaceutical company with a novel immunotherapy platform developing a human anti-thymocyte immunoglobulin (hIgG) for delaying the onset or progression of T1D, today announced that effective June 4,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

FDA Provides Clearance to IND Application for Type 1 Diabetes Therapy SAB-142 by SAB Biotherapeutics This regulatory clearance enables clinical development of SAB-142 in patients with type 1 diabetes in the US

Exhibit 99.1 FDA Provides Clearance to IND Application for Type 1 Diabetes Therapy SAB-142 by SAB Biotherapeutics This regulatory clearance enables clinical development of SAB-142 in patients with type 1 diabetes in the US May 21, 2024 MIAMI, Fla. May 21, 2024 (Globe Newswire) SAB Biotherapeutics (Nasdaq: SABS) (the “Company” or “SAB”), today announced that the U.S. Food and Drug Administration (F

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

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): May 21, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-39871 CUSIP NUMBER: 78397T202 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran

SAB Biotherapeutics Appoints Jay Skyler, MD, to the Board of Directors

Exhibit 99.1 SAB Biotherapeutics Appoints Jay Skyler, MD, to the Board of Directors MIAMI, May 06, 2024 (GLOBE NEWSWIRE) – SAB Biotherapeutics (Nasdaq: SABS) (the “Company” or “SAB”), a clinical-stage biopharmaceutical company with a novel immunotherapy platform developing a human anti-thymocyte immunoglobulin (hIgG) for delaying the onset or progression of type 1 diabetes (T1D), today announced t

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): May 03, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Regulation FD Disclosure

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): April 12, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 29, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

Description of Registrant’s Securities

Exhibit 4.5 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED SAB Biotherapeutics, Inc. (“we,” “our,” “us” or the “Company”) has the following two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, $0.0001 par value per share (“

SAB Biotherapeutics, Inc. Clawback Policy

EXHIBIT 97.1 SAB BIOTHERAPEUTICS, INC. CLAWBACK POLICY 1. Introduction SAB Biotherapeutics, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to create and foster a culture of business ethics, integrity and accountability, and that, among other purposes, reinforces the Company’s incentive compensation philosophy. The Board of Directors (the “Board”)

List of Subsidiaries

Exhibit 21.1 LIST OF SUBSIDIARIES SAB Sciences, Inc., a Delaware Corporation Diversity Therapeutics, Inc., a Delaware Corporation SAB LLC, a South Dakota LLC SAB Capra LLC, a South Dakota LLC Aurochs LLC, a South Dakota LLC SAB BIO PTY LTD, a proprietary company in Australia limited by shares

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-39871 October 12 SAB

SAB-142 Phase 1 trial on track for data release during 2024 Completed financing for up to $110 million with leading life science investors Cash and equivalents of $56.6 million as of December 31, 2023 Company expects its cash and equivalents, with ex

EXHIBIT 99.1 SAB Biotherapeutics Reports Full Year 2023 Operating and Financial Results March 29, 2024 SAB-142 Phase 1 trial on track for data release during 2024 Completed financing for up to $110 million with leading life science investors Cash and equivalents of $56.6 million as of December 31, 2023 Company expects its cash and equivalents, with exercise of Tranche B warrants, will fund operati

Executive Employment Agreement between SAB Biotherapeutics, Inc. and Christoph Bausch, dated March 5, 2024.

Exhibit 10.2 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated March 5, 2024 and effective as of January 1, 2024 (the “Effective Date”), by and between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Company”), and Christoph Bausch (the “Employee”). This Agreement amends and replaces any employment agreement between the Company (any subsidiary thereof) and the Execu

Executive Employment Agreement between SAB Biotherapeutics, Inc. and Eddie J. Sullivan, dated March 5, 2024.

Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated March 5, 2024 and effective as of January 1, 2024 (the “Effective Date”), by and between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Company”), and Eddie J. Sullivan (the “Executive”). This Agreement amends and replaces any employment agreement between the Company (any subsidiary thereof) and the Exe

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 05, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

Filing Fee Table

Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 (Form Type) SAB Biotherapeutics, Inc.

Legacy SAB Biotherapeutics, Inc. 2014 Equity Incentive Plan

Exhibit 99.2 SAB BIOTHERAPEUTICS, INC. 2014 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: JUNE 27, 2014 APPROVED BY THE STOCKHOLDERS: JUNE 27, 2014 TERMINATION DATE: JUNE 27, 2024 1. GENERAL. (a) Eligible Stock Award Recipients. The persons eligible to receive Stock Awards are Employees, Directors and Consultants. (b) Available Stock Awards. The Plan provides for the grant of the follow

As filed with the Securities and Exchange Commission on February 23, 2024

As filed with the Securities and Exchange Commission on February 23, 2024 Registration No.

SABS / SAB Biotherapeutics, Inc. / COMMODORE CAPITAL LP Passive Investment

SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SAB Biotherapeutics, Inc. (Name of Issuer) Common stock, $0.0001 par value per share (Title of Class of Securities) 78397T202 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appro

SABS / SAB Biotherapeutics, Inc. / RTW INVESTMENTS, LP - SAB BIOTHERAPEUTICS, INC. Passive Investment

SC 13G 1 p24-0734sc13g.htm SAB BIOTHERAPEUTICS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SAB Biotherapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 78397T202 (CUSIP Number) December 31, 2023 (Date of event which requires filing of this statement) C

SABS / SAB Biotherapeutics, Inc. / Radcliffe Capital Management, L.P. - SC 13G/A Passive Investment

SC 13G/A 1 tm245838d19sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. 2)* SAB Biotherapeutics, Inc. (Name of Issuer) Class A ordinary shares, $0.0001 par value (Title of C

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): January 30, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

SAB Biotherapeutics Announces Executive Leadership Change

Exhibit 99.1 SAB Biotherapeutics Announces Executive Leadership Change SIOUX FALLS, S.D., Feb. 2, 2024 (GLOBE NEWSWIRE) - SAB Biotherapeutics, Inc. (Nasdaq: SABS), (“SAB” or the “Company”), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that is developing fully-human anti-thymocyte immunoglobulin (hIgG) for delaying the onset or progression of type 1 diabetes (T1D),

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): January 26, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Up to $20,000,000 Common Stock

Filed Pursuant to Rule 424(b)(5) Registration No. 333-271768 PROSPECTUS SUPPLEMENT (To Prospectus dated May 17, 2023) Up to $20,000,000 Common Stock We have entered into a Controlled Equity Offering℠ Sales Agreement (the “Sales Agreement”) with Cantor Fitzgerald & Co. (“Cantor” or the “sales agent”), relating to shares of our common stock, par value $0.0001 per share, offered by this prospectus su

Controlled Equity Offering℠ Sales Agreement, dated as of January 26, 2024 by and between Cantor Fitzgerald & Co. and SAB Biotherapeutics, Inc.

Exhibit 1.1 SAB Biotherapeutics, Inc. Shares of Common Stock (par value $0.0001 per share) Controlled Equity OfferingSM Sales Agreement January 26, 2024 Cantor Fitzgerald & Co. 110 East 59th Street New York, NY 10022 Ladies and Gentlemen: SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (the “Agent”), as follo

SAB Biotherapeutics Regains Compliance with Nasdaq Minimum Bid Price Requirement

Exhibit 99.1 SAB Biotherapeutics Regains Compliance with Nasdaq Minimum Bid Price Requirement SIOUX FALLS, S.D., Jan. 23, 2024 (GLOBE NEWSWIRE) - SAB Biotherapeutics, Inc. (Nasdaq: SABS), (SAB), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that is developing fully-human anti-thymocyte immunoglobulin (hIgG) for delaying the onset or progression of type 1 diabetes (

Financial Statements and Exhibits, Other Events

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): January 23, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Forward-Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s activities current as of the date of this presentation. This information is given

© 2024 SAB BIOTHERAPEUTICS, INC. FULLY HUMAN ANTITHYMOCYTE BIOLOGIC DEVELOPED TO DELAY ONSET OR PROGRESSION OF TYPE 1 DIABETES NASDAQ: SABS SAB BIOTHERAPEUTICS INTRODUCTION JANUARY 2024 EXHIBIT 99.1 Forward-Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s activities current as of the date

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

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): January 19, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Certificate of Amendment to the Certificate of Incorporation, as amended and restated, dated January 2, 2024

EXHIBIT 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SAB BIOTHERAPEUTICS, INC. SAB Biotherapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), does hereby certify as follows: 1. The name of the Corporation is SAB Biotherapeutics, Inc. 2. The Amended and Restated Certificate of Incorporation of

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

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): January 02, 2024 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

SAB Biotherapeutics Announces 1-for-10 Reverse Stock Split

EXHIBIT 99.1 SAB Biotherapeutics Announces 1-for-10 Reverse Stock Split SIOUX FALLS, S.D., Jan 2, 2024 (GLOBE NEWSWIRE) - SAB Biotherapeutics, Inc. (Nasdaq: SABS), a clinical-stage biopharmaceutical company with a novel immunotherapy platform developing a fully-human anti-thymocyte immunoglobulin (hIgG) for disease-modification of Type 1 Diabetes (T1D), today announced that it will effect a revers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of

Joint Filing Agreement

Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated December 4, 2023 with respect to the Common Stock, $0.0001 par value per share, of SAB Biotherapeutics, Inc., a Delaware corporation, and any further amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance

SABS / SAB Biotherapeutics Inc / BIOTECHNOLOGY VALUE FUND L P - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 SAB Biotherapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 78397T103 (CUSIP Number

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

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): November 29, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commis

SAB Biotherapeutics Announces Commencement of the HUMAN Phase 1 Clinical Trial with SAB-142, a Potential Disease-Modifying Treatment for Type 1 Diabetes First subject has been dosed in the first-in-man Phase 1 clinical study of SAB-142, the first ful

Exhibit 99.1 SAB Biotherapeutics Announces Commencement of the HUMAN Phase 1 Clinical Trial with SAB-142, a Potential Disease-Modifying Treatment for Type 1 Diabetes First subject has been dosed in the first-in-man Phase 1 clinical study of SAB-142, the first fully-human anti-thymocyte immunoglobulin (ATG) SAB-142 directly and specifically targets multiple immune cells involved in the destruction

November 24, 2023

November 24, 2023 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

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): November 22, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commis

Certificate of Amendment to the Amended and Restated Certificate of Incorporation

EXHIBIT 3.1 FORM OF CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SAB BIOTHERAPEUTICS, INC. Pursuant to Section 242 of the General Corporation Law of the State of Delaware SAB Biotherapeutics, Inc., a Delaware corporation (hereinafter called the “Corporation”), does hereby certify: FIRST: Upon the filing and effectiveness pursuant to the General Corporation L

As filed with the Securities and Exchange Commission on November 20, 2023

As filed with the Securities and Exchange Commission on November 20, 2023 Registration No.

SAB Biotherapeutics Appoints Katie Ellias to the Board of Directors

Exhibit 99.1 SAB Biotherapeutics Appoints Katie Ellias to the Board of Directors SIOUX FALLS, S.D., November 20, 2023 (GLOBE NEWSWIRE) - SAB Biotherapeutics (Nasdaq: SABS), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that is developing a fully-human anti-thymocyte immunoglobulin (hIgG) for delaying the onset or progression of type 1 diabetes (T1D), today announce

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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): November 14, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commis

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Comm

Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 29, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Com

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on November 3, 2023

As filed with the Securities and Exchange Commission on November 3, 2023 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of

Executive Employment Agreement between SAB Biotherapeutics, Inc. and Michael G. King, dated October 23, 2023

EXHIBIT 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated October 23, 2023 (the “Effective Date”), by and between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Company”), and MICHAEL G. KING, JR. (the “Executive”). WHEREAS, the Company desires that the Executive join the Company to serve in the capacity of Chief Financial Officer of the Company, and the Execu

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): October 23, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of

SABS / SAB Biotherapeutics Inc / COMMODORE CAPITAL LP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

Certificate of Designation of Preferences, Rights and Limitations of the Series A Convertible Voting Preferred Stock

Exhibit 3.1 SAB BIOTHERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE VOTING PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL”) does hereby

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

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): September 29, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commi

SAB Biotherapeutics Announces Private Placement of up to $130 Million to Advance Development of Lead Drug Candidate for Type 1 Diabetes Funding to support clinical advancement of SAB-142, a potential disease-modifying treatment Financing led by RA Ca

Exhibit 99.1 SAB Biotherapeutics Announces Private Placement of up to $130 Million to Advance Development of Lead Drug Candidate for Type 1 Diabetes Funding to support clinical advancement of SAB-142, a potential disease-modifying treatment Financing led by RA Capital Management, with participation from BVF Partners, Sessa Capital, Commodore Capital, RTW Investments, Marshall Wace, and the JDRF T1

Form of Preferred Tranche B Warrant

Exhibit 4.2 NEITHER THESE SECURITIES NOR THE SECURITIES ISSUABLE UPON CONVERSION OR EXERCISE OF THESE SECURITIES HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES AND THE SECURITIES ISSUABLE UPON CONVERSION OR EXERCISE OF THESE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE

Form of Securities Purchase Agreement, dated September 29, 2023 by and among SAB Biotherapeutics, Inc. and the purchasers named therein

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September 29, 2023, by and among SAB Biotherapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). RECITALS A. The Company is execu

Form of Preferred Tranche C Warrant

Exhibit 4.3 NEITHER THESE SECURITIES NOR THE SECURITIES ISSUABLE UPON CONVERSION OR EXERCISE OF THESE SECURITIES HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES AND THE SECURITIES ISSUABLE UPON CONVERSION OR EXERCISE OF THESE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE

Form of Preferred Tranche A Warrant

Exhibit 4.1 NEITHER THESE SECURITIES NOR THE SECURITIES ISSUABLE UPON CONVERSION OR EXERCISE OF THESE SECURITIES HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES AND THE SECURITIES ISSUABLE UPON CONVERSION OR EXERCISE OF THESE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE

Brian Lee

Brian Lee Partner [email protected] D +1 212 768 6926 Dentons US LLP 1221 Avenue of the Americas New York, NY 10020-1089 United States dentons.com September 26, 2023 Tara Harkins Kevin Kuhar United States Securities and Exchange Commission Division of Corporation Finance Office of Energy & Transportation 100 F Street, N.E. Washington, DC 20549-3010 Re: SAB Biotherapeutics, Inc. Form 10-K for t

August 28, 2023

August 28, 2023 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

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): August 18, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on August 21, 2023

Table of Contents As filed with the Securities and Exchange Commission on August 21, 2023 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-39871 CUSIP NUMBER: 78397T103 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Trans

July 31, 2023

July 31, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

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): July 25, 2023 SAB BIOTHERAPEUTICS

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): July 25, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Letter from Mayer Hoffman McCann P.C. to the Securities and Exchange Commission dated July 31, 2023.

Exhibit 16.1 July 31, 2023 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Commissioners: We have read Item 4.01 of SAB Biotherapeutics, Inc.’s Form 8-K dated July 31, 2023, and we agree with the statements set forth in Item 4.01, insofar as they relate to our firm. We have no basis to agree or disagree with other statements of the registrant contained therein. Very tru

As filed with the Securities and Exchange Commission on July 10, 2023

Table of Contents As filed with the Securities and Exchange Commission on July 10, 2023 Registration No.

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

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): June 29, 2023 SAB BIOTHERAPEUTICS

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): June 29, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Presentation, dated June 21, 2023

Exhibit 99.1

June 20, 2023

June 20, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Regulation FD Disclosure, Financial Statements and Exhibits

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): June 21, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SAB Biotherapeutics Presents Positive IND-Enabling GLP Toxicology Study for SAB-142, a Novel Immunotherapeutic for Type 1 Diabetes at FOCIS 2023 SAB highlights results from GLP toxicology study confirming SAB-142's mechanism of action at the 23rd Fed

Exhibit 99.2 SAB Biotherapeutics Presents Positive IND-Enabling GLP Toxicology Study for SAB-142, a Novel Immunotherapeutic for Type 1 Diabetes at FOCIS 2023 SAB highlights results from GLP toxicology study confirming SAB-142's mechanism of action at the 23rd Federation of Clinical Immunology Societies (FOCIS) Study shows SAB’s fully-human multi-target immune modulating therapeutic for treatment o

EX-99.1

Exhibit 99.1

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): June 14, 2023 SAB BIOTHERAPEUTICS

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): June 14, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☐ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

Form of Warrant

Exhibit 4.1 THE SECURITIES REPRESENTED BY THIS WARRANT ISSUED BY SAB BIOTHERAPEUTICS, INC. (THE “COMPANY”) HAVE BEEN ACQUIRED FOR INVESTMENT. THIS WARRANT AND THE COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR AN EXEMPTION THEREFROM UNDER THE SECURITIES ACT AND

May 15, 2023

May 15, 2023 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.

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): May 08, 2023 SAB BIOTHERAPEUTICS,

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): May 08, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Corporate Presentation

Exhibit 99.1

Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

Form of Indenture.

EX-4.3 2 ex514555.htm EXHIBIT 4.3 - FORM OF INDENTURE Exhibit 4.3 SAB BIOTHERAPEUTICS, INC. Issuer AND as Trustee INDENTURE Dated as of , 2023 Debt Securities CROSS-REFERENCE TABLE(1) SECTION OF TRUST INDENTURE ACT OF 1939, AS AMENDED SECTION(S) OF INDENTURE 310(a) 7.9 310(b) 7.8 311(a) 7.13 311(b) 7.13 312(a) 5.1, 5.2(a) 312(b) 5.2(b) 312(c) 5.2(c) 313(a) 5.4 313(b) 5.4 313(c) 5.4 313(d) 5.4 314(

As filed with the U.S. Securities and Exchange Commission on May 9, 2023

Table of Contents As filed with the U.S. Securities and Exchange Commission on May 9, 2023 Registration No. 333-       UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SAB BIOTHERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 85-3899721 (State or Other Jurisdiction of Incorporati

May 5, 2023

May 5, 2023 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.

Form of Warrant

Exhibit 4.2 THE SECURITIES REPRESENTED BY THIS WARRANT ISSUED BY SAB BIOTHERAPEUTICS, INC. (THE “COMPANY”) HAVE BEEN ACQUIRED FOR INVESTMENT. THIS WARRANT AND THE COMMON STOCK ISSUABLE UPON EXERCISE OF THIS WARRANT MAY NOT BE SOLD OR TRANSFERRED IN THE ABSENCE OF REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR AN EXEMPTION THEREFROM UNDER THE SECURITIES ACT AND

Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on May 1, 2023

Table of Contents As filed with the Securities and Exchange Commission on May 1, 2023 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-3

SAB Biotherapeutics Announces Positive Results from Phase 3 Trial of SAB-185 in Patients with COVID-19 at High-Risk for Severe Complications

Exhibit 99.1 SAB Biotherapeutics Announces Positive Results from Phase 3 Trial of SAB-185 in Patients with COVID-19 at High-Risk for Severe Complications SAB-185, a human IgG1 (polyclonal) antibody therapeutic candidate, demonstrated benefit in sustained symptom resolution in patients with Omicron variants of SARS-CoV-2 SIOUX FALLS, S.D., April 26, 2023 (GLOBE NEWSWIRE) - SAB Biotherapeutics (Nasd

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): April 26, 2023 SAB BIOTHERAPEUTIC

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): April 26, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 -12-31FY2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File

Regulation FD Disclosure, Financial Statements and Exhibits

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): April 18, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

SAB Biotherapeutics Announces U.S. FDA Grants Breakthrough Therapy Designation to SAB-176 Influenza Immunotherapy SAB-176 has now received both Breakthrough and Fast Track designations from FDA – signifying its potential to fundamentally improve infl

EX-99.1 2 ex502136.htm EXHIBIT 99.1 Exhibit 99.1 SAB Biotherapeutics Announces U.S. FDA Grants Breakthrough Therapy Designation to SAB-176 Influenza Immunotherapy SAB-176 has now received both Breakthrough and Fast Track designations from FDA – signifying its potential to fundamentally improve influenza treatment and prophylaxis Influenza therapeutic now eligible for intensive guidance from FDA fo

Regulation FD Disclosure, Financial Statements and Exhibits

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): April 13, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED

Exhibit 4.4 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED SAB Biotherapeutics, Inc. (“we,” “our,” “us” or the “Company”) has the following two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, $0.0001 par value per share (“

A. Kropotova Agreement.

Exhibit 10.5 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated May 20, 2022 and effective as of June 6, 2022 (the “Effective Date”), by and between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Company”), and ALEXANDRA KROPOTOVA (the “Employee”). WHEREAS, the Company desires that the Employee joins the Company to serve in the capacity of Executive Vice President-C

SAB Biotherapeutics Granted Fast Track Designation from FDA for SAB-176 Influenza Immunotherapy with High Cross-Reactivity to Multiple Strains of Influenza FDA greenlights advancement of SAB-176 Phase 2b trial and manufacturing approach to address in

Exhibit 99.1 SAB Biotherapeutics Granted Fast Track Designation from FDA for SAB-176 Influenza Immunotherapy with High Cross-Reactivity to Multiple Strains of Influenza FDA greenlights advancement of SAB-176 Phase 2b trial and manufacturing approach to address influenza strain change SAB-176 is the first fully-human broadly neutralizing immunoglobulin antibody therapeutic intended to prevent or re

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-398

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): April 3, 2023 SAB BIOTHERAPEUTICS

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): April 3, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SAB Biotherapeutics Announces Appointment of Erick Lucera, CFA to Board of Directors

Exhibit 99.1 SAB Biotherapeutics Announces Appointment of Erick Lucera, CFA to Board of Directors SIOUX FALLS, S.D., April 4, 2023 (GLOBE NEWSWIRE) - SAB Biotherapeutics (Nasdaq: SABS), (SAB), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully-human immunoglobulin (hIgG) antibodies, also known as fully-human polyc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER: 001-39871 CUSIP NUMBER: 78397T103 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ T

SAB Biotherapeutics Provides Company Update for Full Year 2022

Exhibit 99.1 SAB Biotherapeutics Provides Company Update for Full Year 2022 SIOUX FALLS, S.D., March 31, 2023 (GLOBE NEWSWIRE) - SAB Biotherapeutics (Nasdaq: SABS), (SAB), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully-human immunoglobulin (hIgG) antibodies, also known as fully-human polyclonal antibodies, wit

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 30, 2023 SAB BIOTHERAPEUTIC

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 30, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

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 21, 2023 SAB BIOTHERAPEUTIC

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 21, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commissio

Up to 7,363,377 Shares of Common Stock Up to 7,363,377 Shares of Common Stock Issuable Upon Exercise of Warrants SAB Biotherapeutics, Inc.

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-269565 PROSPECTUS Up to 7,363,377 Shares of Common Stock Up to 7,363,377 Shares of Common Stock Issuable Upon Exercise of Warrants SAB Biotherapeutics, Inc. This prospectus relates to up to 14,726,754 shares of common stock, par value $0.0001 per share, that the selling stockholders identified in this prospectus may sell from

February 8, 2023

CORRESP 1 filename1.htm February 8, 2023 VIA EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Jason Drory RE: SAB Biotherapeutics, Inc. Registration Statement on Form S-3 File No. 333-269565 Filed February 3, 2023 In accordance with Rule 461 of the Rules and Regulations promulgated under the Securities Act of 1933, as ame

Regulation FD Disclosure, Financial Statements and Exhibits

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): February 6, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Presentation dated February 6, 2023

As filed with the Securities and Exchange Commission on February 3, 2023

Table of Contents As filed with the Securities and Exchange Commission on February 3, 2023 Registration No.

Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities

Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SAB Biotherapeutics, Inc.

As filed with the Securities and Exchange Commission on February 3, 2023

Table of Contents As filed with the Securities and Exchange Commission on February 3, 2023 Registration No.

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

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): January 23, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

SAB Biotherapeutics Successfully Concludes IND-Enabling GLP Toxicology Study for SAB-142, a Novel Immunotherapeutic for Type 1 Diabetes Study shows SAB’s fully-human polyclonal therapeutic that has potential to delay the onset or progression of type

EXHIBIT 99.1 SAB Biotherapeutics Successfully Concludes IND-Enabling GLP Toxicology Study for SAB-142, a Novel Immunotherapeutic for Type 1 Diabetes Study shows SAB’s fully-human polyclonal therapeutic that has potential to delay the onset or progression of type 1 diabetes is well tolerated; next step is investigational new drug (IND) filing SIOUX FALLS, S.D., January 10, 2023 (GLOBE NEWSWIRE) – S

Regulation FD Disclosure, Financial Statements and Exhibits

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): January 10, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

SAB Biotherapeutics’ CMO Alexandra Kropotova to Deliver Presentation on Next Generation Biologics in Immunology at Biotech Showcase

EXHIBIT 99.1 SAB Biotherapeutics’ CMO Alexandra Kropotova to Deliver Presentation on Next Generation Biologics in Immunology at Biotech Showcase SIOUX FALLS, S.D., January 9, 2023 (GLOBE NEWSWIRE) – SAB Biotherapeutics (Nasdaq: SABS), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, high-avidity, fully-human polyclona

Regulation FD Disclosure, Financial Statements and Exhibits

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): January 09, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Forward-Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s activities current as of the date of this presentation. This information is given

EX-99.2 3 sabs-ex992.htm EX-99.2 Next Generation Biologics in Immunology Solution for Complex Diseases Biotech Showcase Conference  January 2023 Alexandra Kropotova, MD Executive Vice President & Chief Medical Officer Exhibit 99.2 Forward-Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s

SAB Biotherapeutics Novel DiversitAb™ Platform Proven to Develop Anti-idiotype Antibodies to Help Treat Autoimmune Diseases

EXHIBIT 99.1 SAB Biotherapeutics Novel DiversitAb? Platform Proven to Develop Anti-idiotype Antibodies to Help Treat Autoimmune Diseases SIOUX FALLS, S.D., January 5, 2023 (GLOBE NEWSWIRE) ? SAB Biotherapeutics (Nasdaq: SABS), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully-human polyclonal antibodies without t

Regulation FD Disclosure, Financial Statements and Exhibits

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): January 05, 2023 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

SABS / SAB Biotherapeutics Inc / HAMILTON CHRISTINE E - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) SAB Biotherapeutics, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 Per Share (Title of Class of Securities) 78397T103 (CUSIP Number) December 7, 2022 (Date of Event Which Requires Filing of this Statement) If the filing person has previously fil

Form of Warrant

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Form of Placement Agent Warrant

Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

SAB Biotherapeutics Announces $7.9 Million Private Placement of Common Stock

EX-99.1 5 sabs-ex991.htm EX-99.1 EXHIBIT 99.1 SAB Biotherapeutics Announces $7.9 Million Private Placement of Common Stock SIOUX FALLS, S.D., Dec. 07, 2022 (GLOBE NEWSWIRE) - SAB Biotherapeutics (Nasdaq: SABS), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully-human polyclonal antibodies without the need for huma

Securities Purchase Agreement dated December 6, 2022, by and between the Company and the purchasers thereto

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this ?Agreement?) is made and entered into as of December 6, 2022 (the ?Effective Date?) by and among SAB Biotherapeutics, Inc., a Delaware corporation (the ?Company?), and the Investors identified on Exhibit A attached hereto (each an ?Investor? and collectively, the ?Investors?). Recitals A. The Company and each Inves

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

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): December 06, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commis

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): November 21, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commis

Experienced Management Team Christoph Bausch, PhD, MBA EVP & CHIEF OPERATING OFFICER 20+ years research and discovery, biomanufacturing, business development, and platform technology commercialization MilliporeSigma (Merck KGaA) Stowers Institute fo

ADVANCING A POWERFUL NEW CLASS OF IMMUNOTHERAPEUTIC ANTIBODIES November 2022 ? 2022 SAB BIOTHERAPEUTICS, INC.

SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants

424B3 1 sabs424b3q310-q.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-261496 Prospectus Supplement No.4 (to Prospectus dated April 29, 2022) SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants This prospectus supplement is being filed to update and supplement the information containe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

Forward Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (SAB) and is general background information about SAB’s activities current as of the date of this presentation. This information is given in

Plasma Fractionation and Downstream Processing of Human Polyclonal Antibodies from the DiversitAb? Platform ? 2022 SAB BIOTHERAPEUTICS, INC.

Forward Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (SAB) and is general background information about SAB’s activities current as of the date of this presentation. This information is given in

? 2022 SAB BIOTHERAPEUTICS, INC. ? CONFIDENTIAL Plasma Product Biotechnology Conference ? 2022 Christoph Bausch, PhD, Chief Operating Officer Phase 2 Efficacy and Safety of Two Novel SAB Immunotherapies Against Respiratory Disease Indications Associated with ?Highly Mutating Viruses? ? SAB-185: A SARS-CoV-2 Immunotherapeutic? SAB-176: A Pan Influenza Immunotherapeutic EXHIBIT 99.2 Forward Looking

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): November 01, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commis

SAB Biotherapeutics Presents Overview of DiversitAb™ Platform and Data Showing Benefits of Fully-Human Polyclonal Antibodies Derived from Cows vs. Human-Derived Plasma, at 2022 Plasma Product Biotechnology Conference SAB highlights data on SAB-176 fo

EXHIBIT 99.3 SAB Biotherapeutics Presents Overview of DiversitAb? Platform and Data Showing Benefits of Fully-Human Polyclonal Antibodies Derived from Cows vs. Human-Derived Plasma, at 2022 Plasma Product Biotechnology Conference SAB highlights data on SAB-176 for seasonal and pandemic influenza and SAB-185 for COVID-19, showing broad efficacy against highly mutating viruses associated with respir

Manufacturing Option Agreement, dated October 26, 2022

Exhibit 10.1 Certain information marked as [****] has been excluded from this exhibit because it is both (i)?not material and (ii)?would be competitively harmful if publicly disclosed. MANUFACTURING OPTION AGREEMENT This Manufacturing Option Agreement (?Agreement?) is made as of October 26, 2022 (?Effective Date?) by and among Emergent BioSolutions Canada, Inc. (?Emergent?) and Sab Biotherapeutics

SAB Biotherapeutics Announces Exclusive Manufacturing Partnership with Emergent BioSolutions

Exhibit 99.1 SAB Biotherapeutics Announces Exclusive Manufacturing Partnership with Emergent BioSolutions SIOUX FALLS, S.D. and GAITHERSBURG, MD, October 27, 2022 (GLOBE NEWSWIRE) ? SAB Biotherapeutics (Nasdaq: SABS), ("SAB?), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully-human polyclonal antibodies without t

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

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): October 26, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Right of First Refusal Agreement, dated October 26, 2022

Exhibit 10.2 Certain information marked as [****] has been excluded from this exhibit because it is both (i)?not material and (ii)?would be competitively harmful if publicly disclosed. RIGHT OF FIRST REFUSAL AGREEMENT This Right of First Refusal Agreement (?Agreement?) is made as of October 26, 2022 (?Effective Date?) by and among Emergent BioSolutions Canada, Inc. (?Emergent?) and Sab Biotherapeu

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): October 11, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Fourth Amendment to Amended and Restated Lease Agreement

FOURTH AMENDMENT TO AMENDED AND RESTATED LEASE AGREEMENT THIS FOURTH AMENDMENT TO AMENDED AND RESTATED LEASE AGREEMENT (this ?Amendment?) is made as of October 11, 2022, by and between Sanford Health, a South Dakota non-profit corporation (?Landlord?), and SAB Biotherapeutics, Inc.

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

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): October 05, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commiss

Poster Presentation dated September 30, 2022

Human Anti-Human Epidermal Growth Factor Receptor Polyclonal Antibodies Block Ligand Binding and Increase Survival of Non-small Cell Lung Carcinoma Xenograft Mice Daniel W.

Regulation FD Disclosure, Financial Statements and Exhibits

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): September 30, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commi

SAB Biotherapeutics Unveils New Data at ISIRV OPTIONS XI Conference Validating SAB-176 Proof of Concept in Reducing Viral Load and Improving Symptoms of Influenza and Showing SAB-185 Effective Against Multiple COVID-19 Variants Including Omicron SAB’

EXHIBIT 99.3 SAB Biotherapeutics Unveils New Data at ISIRV OPTIONS XI Conference Validating SAB-176 Proof of Concept in Reducing Viral Load and Improving Symptoms of Influenza and Showing SAB-185 Effective Against Multiple COVID-19 Variants Including Omicron SAB’s fully-human polyclonal antibody platform maintains its efficacy against multiple variants of several highly mutating viruses SIOUX FALL

Poster Presentation dated September 28, 2022

EX-99.1 2 sabs-ex991.htm EX-99.1 Conclusions Transchromosomic bovine-derived human anti-SARS-CoV-2 polyclonal antibodies protect hACE2 transgenic Syrian hamsters against multiple SARS CoV-2 variants Theron Gilliland1,#, Yanan Li3,#, Rong Li3,#, Matthew Dunn1, #, Maria Alcorn1, Yutaka Terada1, Shauna Vasilatos1, Jeneveve Lundy1, Shamkumar Nambulli2, Deanna Larson3, Paul Duprex2, Hua Wu4, Thomas Luk

Forward-Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s activities current as of the date of this presentation. This information is given

Efficacy and Safety of SAB-176, a Novel Anti-Type A and B Influenza Immunotherapeutic: A Phase 2a, Randomized, Double-Blind Trial in H1N1 Challenged Adults Thomas C.

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): September 27, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commi

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

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): September 23, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commi

SAB Biotherapeutics to Present New Data at ISIRV OPTIONS XI Conference on SAB-176 Phase 2a Influenza Trial and SAB-185’s Effectiveness Against Multiple COVID-19 Variants

EXHIBIT 99.2 SAB Biotherapeutics to Present New Data at ISIRV OPTIONS XI Conference on SAB-176 Phase 2a Influenza Trial and SAB-185?s Effectiveness Against Multiple COVID-19 Variants SIOUX FALLS, S.D., Sept. 23, 2022 (GLOBE NEWSWIRE) ? SAB Biotherapeutics (Nasdaq: SABS), ("SAB?), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, hig

Experienced Management Team Christoph Bausch, PhD, MBA EVP & CHIEF OPERATING OFFICER 20+ years research and discovery, biomanufacturing, business development, and platform technology commercialization MilliporeSigma (Merck KGaA) Stowers Institute fo

ADVANCING A POWERFUL NEW CLASS OF IMMUNOTHERAPEUTIC ANTIBODIES September 2022 ? 2022 SAB BIOTHERAPEUTICS, INC.

SABS / SAB Biotherapeutics Inc / Sullivan Eddie Joe - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) SAB Biotherapeutics, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 Per Share (Title of Class of Securities) 78397T103 (CUSIP Number) September 7, 2022 (Date of Event Which Requires Filing of this Statement) If the filing person has previously fi

SABS / SAB Biotherapeutics Inc / HAMILTON CHRISTINE E - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) SAB Biotherapeutics, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 Per Share (Title of Class of Securities) 78397T103 (CUSIP Number) June 7, 2022 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a

Table of Contents As filed with the U.S. Securities and Exchange Commission on August 22 , 2022. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF

Table of Contents As filed with the U.S. Securities and Exchange Commission on August 22 , 2022. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SAB BIOTHERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 2836 85-3899721 (State or other jurisdiction of incorp

Filing Fee Table

EX-FILING FEES 3 d353425dexfilingfees.htm EX-FILING FEES Exhibit 107.1 Calculation of Filing Fee Tables FORM S-1 (Form Type) SAB BIOTHERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offeri

SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants

424B3 1 sabs424b3fy22-10-q.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-261496 Prospectus Supplement No. 3 (to Prospectus dated April 29, 2022) SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants This prospectus supplement is being filed to update and supplement the information cont

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

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): July 06, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SAB Biotherapeutics Announces Election of Rear Admiral (retired) Scott Giberson, RPh, MPH, D.Sc., to Board of Directors

EXHIBIT 99.2 SAB Biotherapeutics Announces Election of Rear Admiral (retired) Scott Giberson, RPh, MPH, D.Sc., to Board of Directors SIOUX FALLS, S.D., July 11, 2022 - SAB Biotherapeutics (Nasdaq: SABS), (SAB), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully human polyclonal antibodies without the need for huma

Forward Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s activities current as of the date of this presentation. This information is given

ADVANCING POWERFUL NEW CLASS OF IMMUNOTHERAPEUTIC ANTIBODIES July 2022 © 2022 SAB BIOTHERAPEUTICS, INC.

Regulation FD Disclosure, Financial Statements and Exhibits

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): July 05, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

Forward Looking Statements 2 The material in this presentation has been prepared by SAB Biotherapeutics, Inc. (“SAB”) and is general background information about SAB’s activities current as of the date of this presentation. This information is given

ADVANCING POWERFUL NEW CLASS OF IMMUNOTHERAPEUTIC ANTIBODIES July 2022 ? 2022 SAB BIOTHERAPEUTICS, INC.

Large Animal Genetic Engineering Summit, June 2022 © 2022 SAB BIOTHERAPEUTICS, INC. – CONFIDENTIAL Leveraging Genetically Engineered Ungulates to Produce Novel Human Biotherapeutic

Large Animal Genetic Engineering Summit, June 2022 ? 2022 SAB BIOTHERAPEUTICS, INC.

SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants

Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-261496 Prospectus Supplement No. 2 (to Prospectus dated April 29, 2022) SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants This prospectus supplement is being filed to update and supplement the information contained in the prospectus dated April 2

Regulation FD Disclosure, Financial Statements and Exhibits

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): June 07, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SAB Biotherapeutics Announces Appointment of Alexandra Kropotova, M.D., as Chief Medical Officer

Exhibit 99.1 SAB Biotherapeutics Announces Appointment of Alexandra Kropotova, M.D., as Chief Medical Officer SIOUX FALLS, S.D., June 6, 2022 - SAB Biotherapeutics (Nasdaq: SABS), (SAB), a clinical-stage biopharmaceutical company with a novel immunotherapy platform that produces specifically targeted, high-potency, fully human polyclonal antibodies without the need for human donors, today announce

Financial Statements and Exhibits, Other Events

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): June 06, 2022 SAB BIOTHERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39871 85-3899721 (State or Other Jurisdiction of Incorporation) (Commission

SABS / SAB Biotherapeutics Inc / Big Cypress Holdings LLC - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* SAB Biotherapeutics, Inc. (Name of Issuer) Common Stock, Par Value $0.0001 Per Share (Title of Class of Securities) 78397T 103 (CUSIP Number) May 20, 2022 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants

424B3 1 sabs-424b3-resales-1-10.htm 424B3 Filed Pursuant to Rule 424(b)(3) Registration Statement No. 333-261496 Prospectus Supplement No. 1 (to Prospectus dated April 29, 2022) SAB Biotherapeutics, Inc. Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants This prospectus supplement is being filed to update and supplement the information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39871 SAB BIOTHERAPEUTICS, INC.

Employment Agreement, dated March 1, 2021 by and between SAB Biotherapeutics, Inc. And Rick Finnegan

Exhibit 10.3 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?), dated as of the 01 day of March, 2021, is between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the ?Company?), and Frederick J. Finnegan, an individual residing at 409 Lincoln Rd, Sudbury, MA 01776 (?Executive?). 1. POSITION AND RESPONSIBILITIES 1.1. Position. Executive is employed by the Company to ren

Press Release dated May 12, 2022

EXHIBIT 99.1 SAB Biotherapeutics Provides Company Update for Q1 2022 Financial Results Full data from Phase 2a trial that evaluated SAB-176 for treatment of seasonal influenza expected third quarter 2022 ? first clinical data set from novel platform Phase 2 data for SAB-185 expected to be available later this year Sufficient cash anticipated to operate into 2023 SIOUX FALLS, S.D. (May 12, 2022) ?

Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants

Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-261496 PROSPECTUS Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants This prospectus relates to the issuance by us of an aggregate of up to 5,958,600 shares of our common stock, $0.0001 par value per share (the ?Common Stock?), which consists of (i) the issuance of

As filed with the U.S. Securities and Exchange Commission on April 20th, 2022. Registration No. 333- 261496 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDE

Table of Contents As filed with the U.S. Securities and Exchange Commission on April 20th, 2022. Registration No. 333- 261496 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SAB Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 2836 85-38997

Employment Agreement, dated June 6, 2021 by and between SAB Biotherapeutics, Inc. and Melissa Ullerich.

Exhibit 10.4 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?), dated as of the 06 day of June, 2021, is between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the ?Company?), and Melissa V. Ullerich, an individual residing at 26433 454th Ave, Humboldt, SD 57035 (?Executive?). 1. POSITION AND RESPONSIBILITIES 1.1. Position. Executive is employed by the Company to rend

Description of Registrant’s Securities

Exhibit 4.4 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED SAB Biotherapeutics, Inc. (?we,? ?our,? ?us? or the ?Company?) has the following two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): (i) its common stock, $0.0001 par value per share (?

Press Release dated March 29, 2022

Exhibit 99.1 2100 EAST 54TH STREET NORTH SIOUX FALLS, SD 5710 SAB Biotherapeutics Provides Company Update and Reports Full Year 2021 Financial Results SAB executing on its strategy to build a proprietary immune and autoimmune disorders pipeline, including respiratory diseases that affect immunocompromised patients Plans to announce full data from Phase 2a trial that evaluated SAB-176 for the treat

Employment Agreement, dated March 1, 2021, by and between SAB Biotherapeutics, Inc. and Rick Finnegan.

Exhibit 10.3 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this ?Agreement?), dated as of the 01 day of March, 2021, is between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the ?Company?), and Frederick J. Finnegan, an individual residing at 409 Lincoln Rd, Sudbury, MA 01776 (?Executive?). 1. POSITION AND RESPONSIBILITIES 1.1. Position. Executive is employed by the Company to ren

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-39871 October 12 SAB

Third Amendment to Amended and Restated Lease Agreement

EX-10.13 5 sabs-ex1013.htm EX-10.13 Exhibit 10.13 THIRD AMENDMENT TO AMENDED AND RESTATED LEASE AGREEMENT THIS THIRD AMENDMENT TO AMENDED AND RESTATED LEASE AGREEMENT (this “Third Amendment”), made as of October 1, 2021 (the “Effective Date”), is by and between Sanford Health, a South Dakota non-profit corporation, hereinafter called “Landlord,” and SAB Biotherapeutics, Inc., a Delaware corporatio

SABS / SAB Biotherapeutics Inc / Radcliffe Capital Management, L.P. - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2 (Amendment No. 1)* SAB Biotherapeutics, Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 78397T103 (CUSIP Number

SABS / SAB Biotherapeutics Inc / BASSO CAPITAL MANAGEMENT, L.P. - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SAB Biotherapeutics, Inc.** (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 78397T103 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designat

Filing Fee Table

Exhibit 107 Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Common stock, par value $0.

As filed with the Securities and Exchange Commission on February 1, 2022

As filed with the Securities and Exchange Commission on February 1, 2022 Registration No.

Regulation FD Disclosure

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): January 7, 2022 SAB Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39871 85-3899721 (State or other jurisdiction of incorporation) (Commissi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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): December 31, 2021 SAB Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39871 85-3899721 (State or other jurisdiction of incorporation) (Commis

Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants

424B3 1 d255073d424b3.htm 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-261496 PROSPECTUS Up to 14,434,301 Shares of Common Stock Up to 5,958,600 Shares of Common Stock Issuable Upon Exercise of Warrants This prospectus relates to the issuance by us of an aggregate of up to 5,958,600 shares of our common stock, $0.0001 par value per share (the “Common Stock”), which

SAB Biotherapeutics, Inc. 2100 East 54th Street North Sioux Falls, South Dakota 57104 Telephone: (605) 679-6980

SAB Biotherapeutics, Inc. 2100 East 54th Street North Sioux Falls, South Dakota 57104 Telephone: (605) 679-6980 December 13, 2021 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.E. Washington, DC 20549-3010 Attn: Lauren Sprague Hamill Re:??SAB Biotherapeutics, Inc. ???Registration Statement on Form S-1 ???File No. 3

Form S-1

As filed with the U.S. Securities and Exchange Commission on December 3, 2021. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SAB Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 2836 85-3899721 (State or other jurisdiction of incorporation or organiz

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2021 SAB BIOTHERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39871 85-3899721 (State or other jurisdiction of inc

Changes in Registrant's Certifying Accountant, Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review, Results of Operations and Financial Condition, Financial Statements and Exhibits

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): November 22, 2021 SAB Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39871 85-3899721 (State or other jurisdiction of incorporation) (Commis

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended September 30, 2021 ☐ TRANSITION REPORT PURSUA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (MARK ONE) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarter ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-39871 SAB BIOTHERAPEUTI

SAB BIOTHERAPEUTICS MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS

EX-99.3 3 ex99-3.htm Exhibit 99.3 SAB BIOTHERAPEUTICS MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS You should read the following discussion and analysis of our financial condition and results of operations together with the section titled “Selected Consolidated Financial Data” and our consolidated financial statements and the related notes thereto included

UNAUDITED PRO FORMA COMBINED CONDENSED CONSOLIDATED FINANCIAL INFORMATION

EX-99.4 4 ex99-4.htm Exhibit 99.4 UNAUDITED PRO FORMA COMBINED CONDENSED CONSOLIDATED FINANCIAL INFORMATION Capitalized terms used but not defined in this Exhibit 99.4 shall have the meanings ascribed to them in the Current Report on Form 8-K/A (the “Form 8-K/A”) filed with the Securities and Exchange Commission (the “SEC”) on November 22, 2021 and, if not defined in the Form 8-K/A, included in th

SAB Biotherapeutics Reports Third Quarter 2021 Financial Results and Provides Company Update Advanced SAB-185 to Phase 3 in NIH-Sponsored ACTIV-2 Trial for treatment of COVID-19 following positive DSMB recommendation at interim analysis Awarded addit

Exhibit 99.1 SAB Biotherapeutics Reports Third Quarter 2021 Financial Results and Provides Company Update Advanced SAB-185 to Phase 3 in NIH-Sponsored ACTIV-2 Trial for treatment of COVID-19 following positive DSMB recommendation at interim analysis Awarded additional $60.5 million from DoD in expanded scope for advancement of SAB-185 Strengthened leadership team through appointment of Russell Bey

September 30,

Exhibit 99.2 SAB Biotherapeutics, Inc. and Subsidiaries Condensed Consolidated Balance Sheets (Unaudited) September 30, 2021 December 31, 2020 Assets Current assets Cash and cash equivalents $ 10,750,762 $ 12,610,383 Accounts receivable, net 10,213,217 20,569,497 Prepaid expenses 943,574 1,275,134 Total current assets 21,907,553 34,455,014 Operating lease right-of-use assets 2,590,682 3,053,022 Fi

Executive Employment Agreement, dated November 17, 2021, by and between SAB Biotherapeutics, Inc. and Samuel J. Reich

EX-10.1 2 ex10-1.htm Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (this “Agreement”), dated as of November 17, 2021 and effective as of October 25, 2021 (the “Effective Date”), is entered into by and between SAB BIOTHERAPEUTICS, INC., a Delaware corporation (the “Company”), and Samuel J. Reich, an individual residing at 3437 Prairie Ave, Miami Beach, FL 33141 (“Executive”)

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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): November 17, 2021 SAB Biotherapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39871 85-3899721 (State or other jurisdiction of incorporation) (Commis