Braveheart Bio CFO buys shares, receives options

Braveheart Bio, Inc. Chief Financial Officer Rickey James Paul purchased 27,777 shares of Common Stock on August 7, 2026 at $18.00 per share, bringing his directly held Common Stock to 520,927 shares.

Rhea-AI Filing Summary

Braveheart Bio, Inc. Chief Financial Officer Rickey James Paul purchased 27,777 shares of Common Stock on August 7, 2026 at $18.00 per share, bringing his directly held Common Stock to 520,927 shares. On August 5, 2026 he also received a stock option grant for 300,000 shares of Common Stock at an exercise price of $18.00 per share, expiring on August 4, 2036, with 1/48 of the option vesting monthly starting July 23, 2026, subject to continued service. Additional Common Stock is held indirectly through Rickey Trust CR and Rickey Trust BR, with 91,324 shares reported after the transaction for each trust; he disclaims beneficial ownership of those trust-held securities except to the extent of any pecuniary interest.

Insider Trade Summary

Net Buyer: 27,777 shares

Net Buy 4 txns

Insider Rickey James Paul

Role Chief Financial Officer

Bought 27,777 shs ($500K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	27,777	$18.00	$500K
Grant/Award	Stock Option (Right to Buy) F2	300,000	$0.00	$0.00
holding	Common Stock F1	--	--	--
holding	Common Stock F1	--	--	--

Holdings After Transaction: Stock Option (Right to Buy) — 300,000 contracts (Direct); Common Stock — 520,927 shares (Direct); Common Stock — 91,324 shares (Indirect, By Rickey Trust CR); Common Stock — 91,324 shares (Indirect, By Rickey Trust BR)

Footnotes (2)

1. F1. The Reporting Person disclaims beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
2. F2. 1/48th of the shares subject to such option vest and become exercisable in substantially equal monthly installments on each monthly anniversary of July 23, 2026, subject to the Reporting Person's continuous service to the Issuer on each such date.

Key Figures

Open-market purchase: 27,777 shares at $18.00 per share Direct holdings after purchase: 520,927 shares Stock option grant size: 300,000 shares at $18.00 exercise price +4 more

7 metrics

Open-market purchase 27,777 shares at $18.00 per share Common Stock purchased on August 7, 2026

Direct holdings after purchase 520,927 shares Direct Common Stock owned by CFO after August 7, 2026 transaction

Stock option grant size 300,000 shares at $18.00 exercise price Stock Option (Right to Buy) granted on August 5, 2026

Option expiration August 4, 2036 Expiration date of 300,000-share stock option grant

Option vesting rate 1/48 of shares vest monthly Vesting from each monthly anniversary of July 23, 2026

Rickey Trust CR holdings 91,324 shares Indirect Common Stock holding reported as by Rickey Trust CR

Rickey Trust BR holdings 91,324 shares Indirect Common Stock holding reported as by Rickey Trust BR

Key Terms

Stock Option (Right to Buy), exercise price, beneficial ownership, pecuniary interest, +1 more

5 terms

Stock Option (Right to Buy) financial

"security_title: Stock Option (Right to Buy)"

exercise price financial

"conversion_or_exercise_price: 18.0000"

The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.

beneficial ownership regulatory

"The Reporting Person disclaims beneficial ownership of such securities"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

pecuniary interest financial

"except to the extent of his pecuniary interest therein, if any"

Section 16 of the Securities Exchange Act of 1934 regulatory

"for purposes of Section 16 of the Securities Exchange Act of 1934"

A provision of federal securities law that requires company insiders—directors, officers and large shareholders—to publicly report their stock holdings and trades and to surrender any “short-swing” profits from purchases and sales within a six-month window. It acts like a rule that forces leaders to announce their trades and prevents quick buy-sell windfalls, giving investors transparency into insider activity and reducing opportunities for unfair gain.

FAQ

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

What did BRVE CFO Rickey James Paul buy in the latest Form 4?

Rickey James Paul purchased 27,777 shares of Braveheart Bio, Inc. Common Stock at $18.00 per share on August 7, 2026, increasing his directly held Common Stock position to 520,927 shares after the reported transaction.

What stock options were granted to the BRVE CFO in this filing?

The CFO received a stock option grant for 300,000 shares of Braveheart Bio, Inc. Common Stock at an exercise price of $18.00, expiring on August 4, 2036, with the option vesting in 1/48 monthly installments starting July 23, 2026.

How many Braveheart Bio (BRVE) shares does the CFO hold directly after these transactions?

Following the reported purchase, Rickey James Paul directly holds 520,927 shares of Braveheart Bio, Inc. Common Stock. This figure reflects his direct ownership position after the August 7, 2026 open-market purchase.

How does the stock option for the BRVE CFO vest over time?

The 300,000-share stock option vests so that 1/48 of the shares become exercisable in substantially equal monthly installments on each monthly anniversary of July 23, 2026, contingent on his continuous service to the company.

What indirect Braveheart Bio (BRVE) holdings are reported for the CFO?

Two indirect holdings are reported: Rickey Trust CR and Rickey Trust BR, each with 91,324 shares of Common Stock after the transaction. The reporting person disclaims beneficial ownership of these securities except for any pecuniary interest.

Was the BRVE CFO’s recent share purchase made under a Rule 10b5-1 plan?

The filing’s Rule 10b5-1 checkbox is not marked as affirmative, and there is no footnote stating that the transactions were executed pursuant to a pre-arranged trading plan in this report.

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

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Available on EDGAR 08/11/2026 - 08:04 PM Accepted by SEC EDGAR 08/07/2026 - 04:41 PM Learn about SEC filing dates

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^*

Rickey James Paul

(Last) (First) (Middle)

C/O BRAVEHEART BIO, INC.

ONE LETTERMAN DR., BLDG. A, SUITE A4-300

(Street)

SAN FRANCISCO CALIFORNIA 94129

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Braveheart Bio, Inc. [ BRVE ]

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/05/2026

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

X	Form filed by One Reporting Person
	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	08/07/2026		P		27,777	A	$18	520,927	D
Common Stock								91,324	I	By Rickey Trust CR(1)
Common Stock								91,324	I	By Rickey Trust BR(1)

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
Stock Option (Right to Buy)	$18	08/05/2026		A		300,000		(2)	08/04/2036	Common Stock	300,000	$0	300,000	D

Explanation of Responses:

1. The Reporting Person disclaims beneficial ownership of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

2. 1/48th of the shares subject to such option vest and become exercisable in substantially equal monthly installments on each monthly anniversary of July 23, 2026, subject to the Reporting Person's continuous service to the Issuer on each such date.

Remarks:

	/s/ James Paul Rickey	08/07/2026
	** 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)