Niagen CFO acquires shares via purchase plan
Niagen Bioscience Chief Financial Officer Pamir Ozan acquired additional company stock as part of compensation.
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Form Type
4
Rhea-AI Filing Summary
Niagen Bioscience Chief Financial Officer Pamir Ozan acquired additional company stock as part of compensation. Ozan received 4,255 shares of common stock at $2.71 per share through the Employee Stock Purchase Plan, increasing direct holdings to about 11,627 shares. The filing also shows indirect ownership of about 2,220 shares held by the CFO's spouse.
Insider Trade Summary
Grant/Award: 4,255 shares
Grant/Award
2 txns
Insider
Pamir Ozan
Role
Chief Financial Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Common Stock | 4,255 | $2.71 | $12K |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Common Stock — 11,627.159 shares (Direct);
Common Stock — 2,220.443 shares (Indirect, The reported securities are held by the reporting person's spouse.)
Footnotes (1)
- F1. Shares acquired pursuant to the Issuer's Employee Stock Purchase Plan. The acquisition is exempt under Rule 16b-3(c) and 16b-3(d).
Key Figures
Shares acquired: 4,255 shares
Acquisition price: $2.71 per share
Direct holdings after transaction: 11,627.159 shares
+1 more
4 metrics
Shares acquired
4,255 shares
Common Stock grant/award on June 30, 2026
Acquisition price
$2.71 per share
Employee Stock Purchase Plan acquisition
Direct holdings after transaction
11,627.159 shares
Common Stock held directly by CFO after June 30, 2026
Indirect spousal holdings
2,220.443 shares
Common Stock held by CFO’s spouse as of June 30, 2026
Key Terms
Employee Stock Purchase Plan, Rule 16b-3(c), Rule 16b-3(d), indirect ownership
4 terms
Employee Stock Purchase Plan financial
"Shares acquired pursuant to 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(c) regulatory
"The acquisition is exempt under Rule 16b-3(c) and 16b-3(d)."
An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.
Rule 16b-3(d) regulatory
"The acquisition is exempt under Rule 16b-3(c) and 16b-3(d)."
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.
indirect ownership financial
"The reported securities are held by the reporting person's spouse."
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What did Niagen Bioscience (NAGE) CFO Pamir Ozan report in this Form 4?
Pamir Ozan reported acquiring 4,255 shares of Niagen Bioscience common stock. The shares were obtained through the company’s Employee Stock Purchase Plan at $2.71 per share, reflecting compensation-related ownership rather than an open-market purchase.
What is the nature of the indirect Niagen Bioscience (NAGE) holdings reported by the CFO?
The Form 4 shows 2,220.443 shares of Niagen Bioscience common stock held indirectly. These securities are held by Pamir Ozan’s spouse, as disclosed in the filing, and are therefore reported as indirect ownership rather than shares directly owned by the CFO.
What SEC rules are referenced in Niagen Bioscience (NAGE) CFO’s Form 4 footnote?
The footnote references SEC Rules 16b-3(c) and 16b-3(d). These rules provide exemptions for certain insider transactions made under issuer plans, such as the Employee Stock Purchase Plan used for the CFO’s 4,255-share acquisition at $2.71 per share.
AI-generated analysis. How Rhea-AI works. Not financial advice.
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