Aspen Neuroscience CTO Raineri holds stock options

Two grants follow monthly vesting schedules subject to continued service, with expiration dates in 2033 and 2035.

Accepted by SEC EDGAR 10/29/2026 - 07:48 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Aspen Neuroscience, Inc. Chief Technology Officer Kim Raineri directly holds three stock options covering 70,835, 30,357, and 80,954 common shares, with exercise prices of $7.7100, $7.4200, and $5.7400 per share, respectively. Granted September 7, 2022; September 27, 2023; and November 26, 2025, they expire September 6, 2032; September 26, 2033; and November 25, 2035, respectively. The 2022 option is fully vested and exercisable; the later grants vest monthly subject to continued service.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Raineri Kim

Role Chief Technology Officer

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) — 182,146 contracts (Direct)

Footnotes (3)

1. F1. The option was granted on September 7, 2022. The option is fully vested and exercisable.
2. F2. The option was granted on September 27, 2023. 1/4th of the option vested and became exercisable on October 1, 2024, and 1/48th of the option shall vest equally and become exercisable on the same day of each month thereafter, subject to the Reporting Person's continued service through each vesting date.
3. 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: 70,835 shares Exercise price: $7.7100 per share Underlying common shares: 30,357 shares +3 more

6 metrics

Underlying common shares 70,835 shares Direct option; exercise price $7.7100 per share; expires September 6, 2032

Exercise price $7.7100 per share Direct option covering 70,835 underlying common shares; expires September 6, 2032

Underlying common shares 30,357 shares Direct option; exercise price $7.4200 per share; expires September 26, 2033

Exercise price $7.4200 per share Direct option covering 30,357 underlying common shares; expires September 26, 2033

Underlying common shares 80,954 shares Direct option; exercise price $5.7400 per share; expires November 25, 2035

Exercise price $5.7400 per share Direct option covering 80,954 underlying common shares; expires November 25, 2035

Key Terms

Stock Option (Right to Buy), fully vested and exercisable, 1/48th of the option

3 terms

Stock Option (Right to Buy) financial

"Stock Option (Right to Buy)"

fully vested and exercisable financial

"The option is fully vested and exercisable."

1/48th of the option financial

"1/48th of the option shall vest equally"

FAQ

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

What stock options does ASPE CTO Kim Raineri hold?

Kim Raineri directly holds options covering 70,835 shares at $7.7100 per share, 30,357 shares at $7.4200, and 80,954 shares at $5.7400. They expire September 6, 2032, September 26, 2033, and November 25, 2035, respectively.

What are the vesting terms of Kim Raineri's ASPE options?

The September 27, 2023 grant had 1/4th vest and become exercisable on October 1, 2024; 1/48th vests equally each month thereafter, subject to continued service. The November 26, 2025 grant vests 1/48th monthly beginning December 20, 2025, also subject to continued service.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

Raineri Kim

(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)

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

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)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(1)	09/06/2032	Common Stock	70,835	$7.71	D
Stock Option (Right to Buy)	(2)	09/26/2033	Common Stock	30,357	$7.42	D
Stock Option (Right to Buy)	(3)	11/25/2035	Common Stock	80,954	$5.74	D

Explanation of Responses:

1. The option was granted on September 7, 2022. The option is fully vested and exercisable.

2. The option was granted on September 27, 2023. 1/4th of the option vested and became exercisable on October 1, 2024, and 1/48th of the option shall vest equally and become exercisable on the same day of each month thereafter, subject to the Reporting Person's continued service through each vesting date.

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)