Fortress Biotech CFO David Jin acquires 1,190 shares

The acquisition was made under the Employee Stock Purchase Plan and was exempt under Rule 16b-3(d) and Rule 16b-3(c).

Rhea-AI Filing Summary

Fortress Biotech, Inc. Chief Financial Officer David Jin acquired 1,190 shares of common stock at $1.819 per share on October 1, 2026, under the company's Employee Stock Purchase Plan. The acquisition was voluntarily reported and was exempt under Rule 16b-3(d) and Rule 16b-3(c); no Rule 10b5-1 plan is reported. His reported holdings after the acquisition were 1,652,761 shares, including 1,230,000 shares underlying deferred restricted stock units and 400,000 shares underlying restricted stock units.

Insider Trade Summary

Grant/Award: 1,190 shares

Grant/Award 1 txn

Insider Jin David

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, par value $0.001 F1, F2	1,190	$1.819	$2K

Holdings After Transaction: Common Stock, par value $0.001 — 1,652,761 shares (Direct)

Footnotes (2)

1. F1. The reporting person is voluntarily reporting an acquisition of shares under the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).
2. F2. Total holdings include 1,230,000 shares underlying deferred restricted stock units and 400,000 shares underlying restricted stock units.

Key Figures

Shares acquired: 1,190 shares Price per share: $1.819 per share Reported holdings after acquisition: 1,652,761 shares +2 more

5 metrics

Shares acquired 1,190 shares Employee Stock Purchase Plan acquisition on October 1, 2026

Price per share $1.819 per share Employee Stock Purchase Plan acquisition on October 1, 2026

Reported holdings after acquisition 1,652,761 shares Includes shares underlying deferred restricted stock units and restricted stock units

Shares underlying deferred restricted stock units 1,230,000 shares Included in reported holdings

Shares underlying restricted stock units 400,000 shares Included in reported holdings

Key Terms

Employee Stock Purchase Plan, Rule 16b-3(d), deferred restricted stock units, restricted stock units

4 terms

Employee Stock Purchase Plan financial

"acquisition of shares under the Issuer's Employee Stock Purchase Plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Rule 16b-3(d) regulatory

"exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

deferred restricted stock units financial

"1,230,000 shares underlying deferred restricted stock units"

Deferred restricted stock units are promises by a company to give employees or executives company shares at a future date, subject to conditions like continued employment or performance targets; the delivery and tax event are intentionally delayed. They matter to investors because they affect when new shares may be issued and how executives are motivated—like a paycheck held in escrow that vests over time, influencing potential share dilution and management behavior.

restricted stock units financial

"400,000 shares underlying restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

FAQ

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

What shares did FBIO CFO David Jin acquire?

Fortress Biotech, Inc. Chief Financial Officer David Jin acquired 1,190 shares of common stock at $1.819 per share on October 1, 2026, under the Employee Stock Purchase Plan. The acquisition was exempt under Rule 16b-3(d) and Rule 16b-3(c), and no Rule 10b5-1 plan is reported.

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

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Available on EDGAR 10/01/2026 - 04:31 PM Accepted by SEC EDGAR 10/01/2026 - 04:30 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^*

Jin David

(Last) (First) (Middle)

C/O FORTRESS BIOTECH, INC.

1111 KANE CONCOURSE SUITE 301

(Street)

BAY HARBOR ISLANDS FLORIDA 33154

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Fortress Biotech, Inc. [ FBIO ]

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)
10/01/2026

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, par value $0.001	10/01/2026		A	V	1,190(1)	A	$1.819	1,652,761(2)	D

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

Explanation of Responses:

1. The reporting person is voluntarily reporting an acquisition of shares under the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

2. Total holdings include 1,230,000 shares underlying deferred restricted stock units and 400,000 shares underlying restricted stock units.

	/s/ David Jin	10/01/2026
	** 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)