ROC CEO discloses 1.5M share option holdings

Rank One Computing Corp director and Chief Executive Officer Brian Scott Swann filed an initial ownership report showing his equity-based holdings.

Rhea-AI Filing Summary

Rank One Computing Corp director and Chief Executive Officer Brian Scott Swann filed an initial ownership report showing his equity-based holdings. The filing lists options to buy 501,000 shares of common stock at an exercise price of $0.22 per share that were fully vested as of January 4, 2025 and expire on January 4, 2031. It also shows options to buy 1,002,000 shares at an exercise price of $2.40 per share, with 20% vesting one year after a vesting commencement date of March 1, 2022 and the remainder vesting monthly over a four‑year term, expiring on March 1, 2032. The report indicates no shares of common stock held directly as of the reporting date.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Swann Brian Scott

Role Chief Executive Officer

Type	Security	Shares	Price	Value
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Common Stock; $0.01 par value	--	--	--

Holdings After Transaction: Option (right to buy) — 1,503,000 contracts (Direct); Common Stock; $0.01 par value — 0 shares (Direct)

Footnotes (3)

1. F1. Represents options issued under the 2018 Equity Incentive Plan held by B. Scott Swann which fully vested as of 1/4/2025.
2. F2. Represents 1,002,000 options held by B. Scott Swann, of which 20% vest 1 year after the vesting commencement date of 3/1/22. The remaining shares vest monthly over a 4 year term.
3. F3. Exercise price.

FAQ

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

What does Brian Scott Swann’s Form 3 filing for ROC show?

The Form 3 shows Brian Scott Swann’s initial ownership in Rank One Computing Corp through stock options, including fully vested and time‑vesting grants, but no directly held common shares reported as of the filing date.

How many Rank One Computing (ROC) shares can the CEO acquire through options?

Brian Scott Swann holds options linked to a total of 1,503,000 ROC common shares: 501,000 at a $0.22 exercise price and 1,002,000 at a $2.40 exercise price, all reported as directly owned derivative awards.

What are the vesting terms of the 1,002,000 ROC options in this Form 3?

For the 1,002,000 options, 20% vest one year after the March 1, 2022 vesting commencement date, while the remaining options vest monthly over a four‑year term, creating a gradual, time‑based vesting schedule for the award.

When do Brian Scott Swann’s ROC stock options expire?

The 501,000 options with a $0.22 exercise price expire on January 4, 2031. The 1,002,000 options with a $2.40 exercise price expire on March 1, 2032, giving the CEO long‑dated rights to purchase ROC common stock.

Does the ROC CEO directly own common stock according to this Form 3?

According to the filing, Brian Scott Swann reports zero directly held shares of ROC common stock. His disclosed economic exposure at this time comes from stock options rather than currently owned common shares.

Under what plan were some of the ROC options granted to the CEO?

A portion of the options reported for Brian Scott Swann were issued under the 2018 Equity Incentive Plan, indicating they are part of Rank One Computing’s formal stock‑based compensation program for executives and other eligible participants.

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

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Accepted by SEC EDGAR 03/17/2026 - 09:33 PM Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:			3235-0104
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1. Name and Address of Reporting Person^*

Swann Brian Scott

(Last) (First) (Middle)

C/O RANK ONE COMPUTING CORPORATION

1290 BROADWAY, SUITE 1200

(Street)

DENVER CO 80203

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/23/2026

3. Issuer Name and Ticker or Trading Symbol
Rank One Computing Corp [ ROC ]

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

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock; $0.01 par value	0	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Option (right to buy)	01/04/2025	01/04/2031	Common Stock	501,000(1)	$0.22(3)	D
Option (right to buy)	(2)	03/01/2032	Common Stock	1,002,000	$2.4(3)	D

Explanation of Responses:

1. Represents options issued under the 2018 Equity Incentive Plan held by B. Scott Swann which fully vested as of 1/4/2025.

2. Represents 1,002,000 options held by B. Scott Swann, of which 20% vest 1 year after the vesting commencement date of 3/1/22. The remaining shares vest monthly over a 4 year term.

3. Exercise price.

	/s/ B. Scott Swann	03/17/2026
	** 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 5 (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.