Niagen SVP acquires 2,314 shares via ESPP

Niagen Bioscience SVP and General Counsel Carlos Luis Lopez acquired additional company stock through an employee plan.

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.

Insider Trade Summary

Grant/Award: 2,314 shares

Grant/Award 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)

Footnotes (1)

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: 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

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

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.

How many Niagen Bioscience (NAGE) shares did Carlos Luis Lopez acquire and at what price?

He acquired 2,314 shares of Niagen Bioscience common stock at $2.71 per share. The filing shows this as a grant or award-type acquisition under the Employee Stock Purchase Plan, rather than an open-market purchase.

What is Carlos Luis Lopez’s total Niagen Bioscience (NAGE) shareholding after this transaction?

Following the reported transaction, Carlos Luis Lopez directly holds 4,565 shares of Niagen Bioscience common stock. This total reflects his position after receiving 2,314 additional shares through the company’s Employee Stock Purchase Plan on June 30, 2026.

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.

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

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Accepted by SEC EDGAR 07/08/2026 - 05:18 PM EDT 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^*

Lopez Carlos Luis

(Last) (First) (Middle)

10900 WILSHIRE BLVD. SUITE 600

(Street)

LOS ANGELES CALIFORNIA 90024

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Niagen Bioscience, Inc. [ NAGE ]

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP, General Counsel

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2026

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	06/30/2026		A(1)	V	2,314	A	$2.71	4,565	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. Shares acquired pursuant to the Issuer's Employee Stock Purchase Plan. The acquisition is exempt under Rule 16b-3(c) and 16b-3(d).

Remarks:

	/s/ Jeong James Lee, Attorney-in-Fact	07/08/2026
	** 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)