Aspen Neuroscience director Caryn Peterson reports options

Q: What stock options did ASPE director Caryn Peterson report?

Caryn Peterson reported direct options for 27,011 common shares at $3.9600 per share, 10,119 shares at $7.7100, and 19,226 shares at $5.7400. Their expiration dates are June 30, 2031, June 15, 2032, and November 25, 2035, respectively.

Q: When were Caryn Peterson's ASPE options granted?

The options were granted July 1, 2021, June 16, 2022, and November 26, 2025, respectively. The first two are fully vested and exercisable; the November 26, 2025 option vests 1/48th monthly beginning December 20, 2025, subject to continued service through each vesting date.

Accepted by SEC EDGAR 10/29/2026 - 07:57 PM EDT

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Form Type

Rhea-AI Filing Summary

Aspen Neuroscience, Inc. director Caryn Peterson reported three direct stock-option holdings on October 29, 2026: options for 27,011 common shares at a $3.9600 exercise price, expiring June 30, 2031; 10,119 shares at $7.7100, expiring June 15, 2032; and 19,226 shares at $5.7400, expiring November 25, 2035. The first two options are fully vested and exercisable. The third was granted November 26, 2025, and vests 1/48th monthly beginning December 20, 2025, subject to continued service through each vesting date.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Peterson Caryn

Role Director

Type	Security	Shares	Price	Value
Holding	Stock Option (Right to Buy) ^F1	--	--	--
Holding	Stock Option (Right to Buy) ^F2	--	--	--
Holding	Stock Option (Right to Buy) ^F3	--	--	--

Holdings: Stock Option (Right to Buy) — 56,356 contracts (Direct)

Footnotes (3)

F1. The option was granted on July 1, 2021. The option is fully vested and exercisable.
F2. The option was granted on June 16, 2022. The option is fully vested and exercisable.
F3. The option was granted on November 26, 2025. 1/48th of the option shall vest and become exercisable monthly beginning on December 20, 2025, subject to the Reporting Person's continued service through each vesting date.

Key Figures

Underlying common shares: 27,011 shares Exercise price: $3.9600 per share Underlying common shares: 10,119 shares +3 more

6 metrics

Underlying common shares 27,011 shares Option with a $3.9600 exercise price; expires June 30, 2031.

Exercise price $3.9600 per share Option expires June 30, 2031.

Underlying common shares 10,119 shares Option with a $7.7100 exercise price; expires June 15, 2032.

Exercise price $7.7100 per share Option expires June 15, 2032.

Underlying common shares 19,226 shares Option with a $5.7400 exercise price; expires November 25, 2035.

Exercise price $5.7400 per share Option expires November 25, 2035.

Key Terms

Stock Option (Right to Buy), fully vested and exercisable, vest and become exercisable, continued service

4 terms

Stock Option (Right to Buy) technical

"the Stock Option (Right to Buy) expiring June 30, 2031"

fully vested and exercisable technical

"the option is fully vested and exercisable"

vest and become exercisable technical

"1/48th of the option shall vest and become exercisable monthly"

continued service technical

"subject to the Reporting Person's continued service through each vesting date"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What stock options did ASPE director Caryn Peterson report?

Caryn Peterson reported direct options for 27,011 common shares at $3.9600 per share, 10,119 shares at $7.7100, and 19,226 shares at $5.7400. Their expiration dates are June 30, 2031, June 15, 2032, and November 25, 2035, respectively.

When were Caryn Peterson's ASPE options granted?

The options were granted July 1, 2021, June 16, 2022, and November 26, 2025, respectively. The first two are fully vested and exercisable; the November 26, 2025 option vests 1/48th monthly beginning December 20, 2025, subject to continued service through each vesting date.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Peterson Caryn

(Last)

(First)

(Middle)

10835 ROAD TO THE CURE, SUITE 100

(Street)

SAN DIEGO

CALIFORNIA

92121

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
10/29/2026

3. Issuer Name and Ticker or Trading Symbol
Aspen Neuroscience, Inc. [ ASPE ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (Right to Buy)	⁽¹⁾	06/30/2031	Common Stock	27,011	$3.96	D
Stock Option (Right to Buy)	⁽²⁾	06/15/2032	Common Stock	10,119	$7.71	D
Stock Option (Right to Buy)	⁽³⁾	11/25/2035	Common Stock	19,226	$5.74	D

Explanation of Responses:

1. The option was granted on July 1, 2021. The option is fully vested and exercisable.

2. The option was granted on June 16, 2022. The option is fully vested and exercisable.

3. The option was granted on November 26, 2025. 1/48th of the option shall vest and become exercisable monthly beginning on December 20, 2025, subject to the Reporting Person's continued service through each vesting date.

Remarks:

Exhibit 24 - Power of Attorney

	By: /s/ Jeffrey L. Boerneke, as Attorney-in-Fact	10/29/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

Source: View Original Filing on SEC EDGAR