Bambusa Therapeutics preferred shares convert to common

All preferred stock automatically converted one-for-one into common stock before the closing of Bambusa's initial public offering.

Available on EDGAR 11/02/2026 - 04:04 PM EST Accepted by SEC EDGAR 11/02/2026 - 04:04 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Bambusa Therapeutics, Inc. (BBTX) reported preferred-stock conversions into common stock on November 2, 2026. The Form 4 names Shanshan Xu, the company's co-founder, chief executive officer, president and chairperson, and MiNeng, Inc. as reporting persons. Converted positions included 4,155 Series Seed Plus and 1,753 Series A-1 shares held by The Shanshan Xu 2025 Irrevocable Family Trust; MiNeng held 37,399 Series Seed Plus, 94,050 Series Seed and 15,789 Series A-1 shares, and a further 10,450 Series Seed shares were listed. The rows also report acquisition of 16,358 common shares held by the Xu Trust and 147,238 held by MiNeng.

Insider Trade Summary

163,596 shares exercised/converted

Exercise 8 txns

Insider Xu Shanshan, MiNeng, Inc.

Role See remarks | 10% Owner

Type	Security	Shares	Price	Value
Conversion	Series Seed Plus Preferred Stock F1, F2	4,155	$0.00	$0.00
Conversion	Series Seed Preferred Stock F1	10,450	$0.00	$0.00
Conversion	Series A-1 Preferred Stock F1, F2	1,753	$0.00	$0.00
Conversion	Series Seed Plus Preferred Stock F1, F3	37,399	$0.00	$0.00
Conversion	Series Seed Preferred Stock F1, F3	94,050	$0.00	$0.00
Conversion	Series A-1 Preferred Stock F1, F3	15,789	$0.00	$0.00
Conversion	Common Stock F1, F2	16,358	--	--
Conversion	Common Stock F1, F3	147,238	--	--

Holdings After Transaction: Series Seed Plus Preferred Stock — 0 contracts (Indirect, See footnote); Series Seed Preferred Stock — 0 contracts (Indirect, See footnote); Series A-1 Preferred Stock — 0 contracts (Indirect, See footnote); Common Stock — 7,562,518 shares (Indirect, See footnote)

Footnotes (3)

1. F1. All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock") prior to the closing of the Issuer's initial public offering of its Common Stock.
2. F2. Shares held by The Shanshan Xu 2025 Irrevocable Family Trust ("Xu Trust"). The Reporting Person may be deemed to share voting and dispositive power with respect to the shares held by the Xu Trust.
3. F3. Shares held by MiNeng, Inc. ("MiNeng"). The Reporting Person is the President and sole stockholder of MiNeng and therefore has sole voting and dispositive power with regard to the shares held by MiNeng.

Key Figures

Series Seed Plus Preferred Stock converted — Xu Trust: 4,155 shares Series Seed Preferred Stock converted: 10,450 shares Series A-1 Preferred Stock converted — Xu Trust: 1,753 shares +5 more

8 metrics

Series Seed Plus Preferred Stock converted — Xu Trust 4,155 shares November 2, 2026

Series Seed Preferred Stock converted 10,450 shares November 2, 2026

Series A-1 Preferred Stock converted — Xu Trust 1,753 shares November 2, 2026

Series Seed Plus Preferred Stock converted — MiNeng 37,399 shares November 2, 2026

Series Seed Preferred Stock converted — MiNeng 94,050 shares November 2, 2026

Series A-1 Preferred Stock converted — MiNeng 15,789 shares November 2, 2026

Common Stock acquired — Xu Trust 16,358 shares November 2, 2026

Common Stock acquired — MiNeng 147,238 shares November 2, 2026

Key Terms

one-for-one basis, dispositive power, par value

3 terms

one-for-one basis technical

"automatically converted on a one-for-one basis"

dispositive power technical

"sole voting and dispositive power with regard to the shares held by MiNeng"

Dispositive power is the authority to decide the final outcome of an asset, legal claim, contract, or corporate action — in effect the power to dispose of or resolve something. For investors it matters because whoever holds that authority can determine who gets paid, who controls an asset or vote, and how risks and returns are allocated; think of it like holding the key that lets you lock in the winner or loser in a deal.

par value financial

"par value $0.00001 per share"

Par value is the fixed amount printed on a bond or stock that represents its original value when issued. It’s like the face value of a coin or bill—what the issuer promises to pay back or the starting price of a stock—though it often doesn’t change with market prices. It matters because it helps determine certain financial details, like how much the company will pay back at maturity.

FAQ

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

How many BBTX common shares were acquired in the conversion?

BBTX reported acquisition of 16,358 common shares held by The Shanshan Xu 2025 Irrevocable Family Trust and 147,238 common shares held by MiNeng, Inc. All preferred stock automatically converted one-for-one into common stock before the closing of the initial public offering.

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

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Xu Shanshan

(Last) (First) (Middle)

C/O BAMBUSA THERAPEUTICS, INC.

22 BOSTON WHARF ROAD, FLOOR 7

(Street)

BOSTON MASSACHUSETTS 02210

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Bambusa Therapeutics, Inc. [ BBTX ]

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/02/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	11/02/2026		C		16,358	A	(1)	840,277	I	See footnote(2)
Common Stock	11/02/2026		C		147,238	A	(1)	7,562,518	I	See footnote(3)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series Seed Plus Preferred Stock	(1)	11/02/2026		C			4,155	(1)	(1)	Common Stock	4,155	$0	0	I	See footnote(2)
Series Seed Preferred Stock	(1)	11/02/2026		C			10,450	(1)	(1)	Common Stock	10,450	$0	0	I	See footnote(1)
Series A-1 Preferred Stock	(1)	11/02/2026		C			1,753	(1)	(1)	Common Stock	1,753	$0	0	I	See footnote(2)
Series Seed Plus Preferred Stock	(1)	11/02/2026		C			37,399	(1)	(1)	Common Stock	37,399	$0	0	I	See footnote(3)
Series Seed Preferred Stock	(1)	11/02/2026		C			94,050	(1)	(1)	Common Stock	94,050	$0	0	I	See footnote(3)
Series A-1 Preferred Stock	(1)	11/02/2026		C			15,789	(1)	(1)	Common Stock	15,789	$0	0	I	See footnote(3)

1. Name and Address of Reporting Person^*

Xu Shanshan

(Last) (First) (Middle)

C/O BAMBUSA THERAPEUTICS, INC.

22 BOSTON WHARF ROAD, FLOOR 7

(Street)

BOSTON MASSACHUSETTS 02210

(City) (State) (Zip)

UNITED STATES

(Country)

Relationship of Reporting Person(s) to Issuer

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

1. Name and Address of Reporting Person^*

MiNeng, Inc.

(Last) (First) (Middle)

C/O BAMBUSA THERAPEUTICS, INC.

22 BOSTON WHARF ROAD, FLOOR 7

(Street)

BOSTON MASSACHUSETTS 02210

(City) (State) (Zip)

UNITED STATES

(Country)

Relationship of Reporting Person(s) to Issuer

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

Explanation of Responses:

1. All shares of the preferred stock, par value $0.00001 per share, of the Issuer automatically converted on a one-for-one basis to shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock") prior to the closing of the Issuer's initial public offering of its Common Stock.

2. Shares held by The Shanshan Xu 2025 Irrevocable Family Trust ("Xu Trust"). The Reporting Person may be deemed to share voting and dispositive power with respect to the shares held by the Xu Trust.

3. Shares held by MiNeng, Inc. ("MiNeng"). The Reporting Person is the President and sole stockholder of MiNeng and therefore has sole voting and dispositive power with regard to the shares held by MiNeng.

Remarks:

Co-Founder, Chief Executive Officer, President, and Chairperson

	/s/ Jonathan I. Lieber, as attorney-in-fact	11/02/2026
	** 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 4 (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 4: SEC 1474 (03-26)