Aspen Neuroscience commercial chief holds stock options

The awards follow monthly vesting schedules that remain subject to Lisa Johnson-Pratt's continued service through each vesting date.

Accepted by SEC EDGAR 10/29/2026 - 07:47 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Aspen Neuroscience, Inc. (ASPE) reports that Chief Commercial Officer Lisa Johnson-Pratt holds three direct stock options over 40,477, 40,477 and 65,775 common shares, at exercise prices of $7.4200, $8.7000 and $5.7400, respectively. The options expire March 27, 2034, December 10, 2034 and November 25, 2035, respectively. Each award vests in installments subject to continued service through each vesting date.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Johnson-Pratt Lisa

Role Chief Commercial 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) — 146,729 contracts (Direct)

Footnotes (3)

1. F1. The option was granted on March 28, 2024. 1/4th of the option vested and became exercisable on January 16, 2025, and 1/48th of the option shall vest and become exercisable on the same day of each month thereafter, subject to the Reporting Person's continued service through each vesting date.
2. F2. The option was granted on December 11, 2024. 1/4th of the option vested and became exercisable on September 21, 2025, and 1/48th of the option shall vest 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: 40,477 shares Exercise price: $7.4200 per share Underlying common shares: 40,477 shares +3 more

6 metrics

Underlying common shares 40,477 shares Direct stock option; expires March 27, 2034

Exercise price $7.4200 per share Option expiring March 27, 2034

Underlying common shares 40,477 shares Direct stock option; expires December 10, 2034

Exercise price $8.7000 per share Option expiring December 10, 2034

Underlying common shares 65,775 shares Direct stock option; expires November 25, 2035

Exercise price $5.7400 per share Option expiring November 25, 2035

Key Terms

Stock Option (Right to Buy), 1/48th of the option, continued service through each vesting date

3 terms

Stock Option (Right to Buy) financial

"Stock Option (Right to Buy)"

1/48th of the option financial

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

continued service through each vesting date financial

"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 Chief Commercial Officer Lisa Johnson-Pratt report?

Lisa Johnson-Pratt reported three direct stock options over 40,477, 40,477 and 65,775 common shares. Their exercise prices are $7.4200, $8.7000 and $5.7400 per share, and their expiration dates are March 27, 2034, December 10, 2034 and November 25, 2035, respectively.

How do Lisa Johnson-Pratt's ASPE stock options vest?

The 40,477-option award granted March 28, 2024 had one-quarter vest on January 16, 2025, followed by 1/48th monthly. The 40,477-option award granted December 11, 2024 had one-quarter vest on September 21, 2025, followed by 1/48th monthly. The 65,775-option award granted November 26, 2025 vests 1/48th monthly beginning December 20, 2025. Each schedule is subject to continued service through each vesting date.

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

Understanding Insider Trading Forms →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

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^*

Johnson-Pratt Lisa

(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 Commercial 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)	03/27/2034	Common Stock	40,477	$7.42	D
Stock Option (Right to Buy)	(2)	12/10/2034	Common Stock	40,477	$8.7	D
Stock Option (Right to Buy)	(3)	11/25/2035	Common Stock	65,775	$5.74	D

Explanation of Responses:

1. The option was granted on March 28, 2024. 1/4th of the option vested and became exercisable on January 16, 2025, and 1/48th of the option shall vest and become exercisable on the same day of each month thereafter, subject to the Reporting Person's continued service through each vesting date.

2. The option was granted on December 11, 2024. 1/4th of the option vested and became exercisable on September 21, 2025, and 1/48th of the option shall vest 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)