Aspen Neuroscience director reports five stock options

The director's reported options include three fully vested tranches and two grants with monthly vesting subject to continued service.

Accepted by SEC EDGAR 10/29/2026 - 08:10 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Aspen Neuroscience, Inc. director Thomas O. Daniel reported five directly held stock-option positions covering 17,706, 25,279, 24,286, 36,429 and 10,119 underlying common shares.

The first two options, both exercisable at $3.46 per share, expire September 24, 2030 and January 3, 2031; the 24,286-share option is fully vested and exercisable at $7.71 and expires June 15, 2032. The options for 36,429 and 10,119 shares each have a $5.74 exercise price and expire November 25 and December 11, 2035. For those two options, 1/48th vests monthly beginning December 20, 2025, subject to continued service.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Daniel Thomas O

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	--	--	--
Holding	Stock Option (Right to Buy) F4	--	--	--
Holding	Stock Option (Right to Buy) F5	--	--	--

Holdings: Stock Option (Right to Buy) — 113,819 contracts (Direct)

Footnotes (5)

1. F1. The option was granted on September 25, 2020. The option is fully vested and exercisable.
2. F2. The option was granted on January 4, 2021. The option is fully vested and exercisable.
3. F3. The option was granted on June 16, 2022. The option is fully vested and exercisable.
4. F4. 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.
5. F5. The option was granted on December 12, 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: 17,706 shares Underlying common shares: 25,279 shares Underlying common shares: 24,286 shares +2 more

5 metrics

Underlying common shares 17,706 shares Option exercise price $3.46 per share; expiration September 24, 2030

Underlying common shares 25,279 shares Option exercise price $3.46 per share; expiration January 3, 2031

Underlying common shares 24,286 shares Option exercise price $7.71 per share; expiration June 15, 2032

Underlying common shares 36,429 shares Option exercise price $5.74 per share; expiration November 25, 2035

Underlying common shares 10,119 shares Option exercise price $5.74 per share; expiration December 11, 2035

Key Terms

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

3 terms

Stock Option (Right to Buy) technical

"Stock Option (Right to Buy)"

fully vested and exercisable technical

"The option is fully vested and exercisable."

1/48th of the option shall vest technical

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

FAQ

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

What ASPE stock options did director Thomas O. Daniel report?

He reported five direct option positions: 17,706 and 25,279 underlying shares at $3.46 per share; 24,286 at $7.71; and 36,429 and 10,119 at $5.74. Their expiration dates are September 24, 2030; January 3, 2031; June 15, 2032; November 25, 2035; and December 11, 2035, respectively.

How do the ASPE options for 36,429 and 10,119 shares vest?

For each option, 1/48th vests monthly beginning December 20, 2025, subject to Thomas O. Daniel's continued service through each vesting date.

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^*

Daniel Thomas O

(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)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(1)	09/24/2030	Common Stock	17,706	$3.46	D
Stock Option (Right to Buy)	(2)	01/03/2031	Common Stock	25,279	$3.46	D
Stock Option (Right to Buy)	(3)	06/15/2032	Common Stock	24,286	$7.71	D
Stock Option (Right to Buy)	(4)	11/25/2035	Common Stock	36,429	$5.74	D
Stock Option (Right to Buy)	(5)	12/11/2035	Common Stock	10,119	$5.74	D

Explanation of Responses:

1. The option was granted on September 25, 2020. The option is fully vested and exercisable.

2. The option was granted on January 4, 2021. The option is fully vested and exercisable.

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

4. 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.

5. The option was granted on December 12, 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)