Opus Genetics officer automatic tax-related share sale

Opus Genetics, Inc. Chief Scientific & Dev.

Accepted by SEC EDGAR 03/18/2026 - 04:09 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Opus Genetics, Inc. Chief Scientific & Dev. Officer Jayagopal Ashwath reported an automatic sale of 3,719 shares of common stock at a weighted average price of $5.1213 per share. The shares were sold to cover tax withholding obligations from a restricted stock unit vesting event and were not a discretionary trade. After this transaction, he holds 516,775 shares directly.

Insider Trade Summary

Net Seller: 3,719 shares

Net Sell 1 txn

Insider Jayagopal Ashwath

Role Chief Scientific & Dev. Ofc.

Sold 3,719 shs ($19K)

Share of Position Sold 0.71%

Type	Security	Shares	Price	Value
Sale	Common Stock	3,719	$5.1213	$19K

Holdings After Transaction: Common Stock — 516,775 shares (Direct)

Holdings Before and After: Common Stock, 520,494 to 516,775 shares (Direct)

Other Insiders: 3 other insiders reported open-market sales of this stock in the 30 days up to this filing.

Footnotes (2)

1. F1. The shares reported on this line were sold automatically on behalf of the Reporting Person, as required by the Company to satisfy tax withholding obligations that arose in connection with a vesting and settlement event from a restricted stock units award. This transaction does not represent a discretionary trade by the Reporting Person.
2. F2. The price in column 4 represents the weighted average price. The shares were sold in multiple transactions at prices ranging from $5.11 to $5.1301, inclusive. The Reporting Person undertakes to provide the issuer, any securityholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

FAQ

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

What insider transaction did Opus Genetics (IRD) report for Jayagopal Ashwath?

Opus Genetics reported that Chief Scientific & Dev. Officer Jayagopal Ashwath had 3,719 common shares sold on his behalf. The sale was automatic and conducted to satisfy tax withholding obligations from a restricted stock unit vesting event, rather than a discretionary market trade.

At what price were the Opus Genetics (IRD) shares sold for Jayagopal Ashwath?

The reported weighted average sale price was $5.1213 per share. Footnotes explain the shares were sold in multiple transactions at prices ranging from $5.11 to $5.1301, and full trade details are available to the issuer and regulators upon request.

How many Opus Genetics (IRD) shares does Jayagopal Ashwath hold after this transaction?

Following the tax-related sale, Jayagopal Ashwath holds 516,775 shares of Opus Genetics common stock directly. This figure reflects his remaining position after 3,719 shares were automatically sold to cover tax withholding tied to a restricted stock unit vesting.

Was the Opus Genetics (IRD) insider sale by Jayagopal Ashwath a discretionary trade?

The sale was not discretionary. Footnotes state the 3,719 shares were sold automatically by the company to satisfy tax withholding obligations arising from a restricted stock unit vesting and settlement, meaning the timing and sale were driven by tax requirements, not market timing.

What type of security was involved in Jayagopal Ashwath’s Opus Genetics (IRD) transaction?

The transaction involved Opus Genetics common stock. Shares were sold to cover taxes stemming from the vesting and settlement of a restricted stock unit award, which is a form of equity-based compensation that converts into common shares upon vesting.

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

Jayagopal Ashwath

(Last) (First) (Middle)

C/O OPUS GENETICS, INC.

8 DAVIS DRIVE, SUITE 220

(Street)

DURHAM NORTH CAROLINA 27713

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Opus Genetics, Inc. [ IRD ]

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Scientific & Dev. Ofc.

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/16/2026

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	03/16/2026		S(1)		3,719	D	$5.1213(2)	516,775	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 shares reported on this line were sold automatically on behalf of the Reporting Person, as required by the Company to satisfy tax withholding obligations that arose in connection with a vesting and settlement event from a restricted stock units award. This transaction does not represent a discretionary trade by the Reporting Person.

2. The price in column 4 represents the weighted average price. The shares were sold in multiple transactions at prices ranging from $5.11 to $5.1301, inclusive. The Reporting Person undertakes to provide the issuer, any securityholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

	/s/ Amy Rabourn, by Power of Attorney	03/18/2026
	** 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)