Niagen Bioscience (NAGE) SVP, General Counsel acquires 2,314 ESPP shares
Filing Impact
Filing Sentiment
Form Type
4
Rhea-AI Filing Summary
Niagen Bioscience SVP and General Counsel Carlos Luis Lopez acquired additional company stock through an employee plan. On this Form 4, he received 2,314 shares of common stock at a price of $2.71 per share under Niagen Bioscience’s Employee Stock Purchase Plan, in a transaction exempt under Rules 16b-3(c) and 16b-3(d). After this acquisition, his direct holdings increased to 4,565 common shares.
Positive
- None.
Negative
- None.
Insider Trade Summary
1 transaction reported
Mixed
1 txn
Insider
Lopez Carlos Luis
Role
SVP, General Counsel
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Common Stock | 2,314 | $2.71 | $6K |
Holdings After Transaction:
Common Stock — 4,565 shares (Direct, null)
Footnotes (1)
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Key Figures
Shares acquired: 2,314 shares
Purchase price: $2.71 per share
Shares owned after: 4,565 shares
3 metrics
Shares acquired
2,314 shares
Common Stock acquired June 30, 2026
Purchase price
$2.71 per share
Price for ESPP acquisition
Shares owned after
4,565 shares
Direct holdings following transaction
Key Terms
Employee Stock Purchase Plan, Rule 16b-3(c), Rule 16b-3(d), Grant, award, or other acquisition
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.
Grant, award, or other acquisition financial
"transaction_code_description: Grant, award, or other acquisition"
FAQ
What did Niagen Bioscience (NAGE) insider Carlos Luis Lopez report on this Form 4?
Carlos Luis Lopez reported acquiring 2,314 shares of Niagen Bioscience common stock. The shares were obtained at $2.71 each under the company’s Employee Stock Purchase Plan, increasing his direct ownership to 4,565 shares following the transaction.
Was the Niagen Bioscience (NAGE) insider acquisition under an employee stock plan?
Yes. The filing states the 2,314 shares were acquired pursuant to Niagen Bioscience’s Employee Stock Purchase Plan. The transaction is described as exempt under SEC Rules 16b-3(c) and 16b-3(d), which govern certain insider transactions under company benefit plans.
Is the Carlos Luis Lopez Niagen (NAGE) Form 4 transaction an open-market buy?
No. The transaction is categorized as a grant, award, or other acquisition, not an open-market purchase. The footnote explains the 2,314 shares were obtained via the Employee Stock Purchase Plan and are exempt under specific Rule 16b-3 provisions.