Shoulder Innovations CEO granted 265,351 stock options

Shoulder Innovations, Inc. granted stock options to its CEO and Executive Chairman, Robert Joseph Ball.

Accepted by SEC EDGAR 02/03/2026 - 04:35 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Shoulder Innovations, Inc. granted stock options to its CEO and Executive Chairman, Robert Joseph Ball. On January 30, 2026, he received a stock option covering 265,351 shares of common stock at an exercise price of $14.16 per share.

The option was granted directly to him and is scheduled to vest in four equal annual installments. One-fourth of the underlying shares will vest on March 1 each year, beginning on March 1, 2027, which spreads the potential ownership benefit over several years.

Insider Trade Summary

Grant/Award: 265,351 shares

Grant/Award 1 txn

Insider Ball Robert Joseph

Role CEO & Executive Chairman

Type	Security	Shares	Price	Value
Grant/Award	Stock Option	265,351	$0.00	$0.00

Holdings After Transaction: Stock Option — 265,351 contracts (Direct)

Holdings Before and After: Stock Option, 0 to 265,351 contracts (Direct)

Footnotes (1)

1. F1. The stock option vests as to one-fourth of the underlying shares on March 1st each year, beginning on March 1, 2027.

FAQ

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

What did Shoulder Innovations (SI) CEO Robert Joseph Ball receive in this Form 4?

Robert Joseph Ball received a stock option for 265,351 shares of Shoulder Innovations common stock. The option carries an exercise price of $14.16 per share and represents equity-based compensation tied to his role as CEO and Executive Chairman.

When was the stock option for Robert Joseph Ball at Shoulder Innovations (SI) granted?

The stock option was granted on January 30, 2026. This grant date establishes when the option terms begin, although the shares do not become exercisable immediately due to the multi-year vesting schedule described in the filing.

What is the vesting schedule for the 265,351 stock options reported by Shoulder Innovations (SI)?

The option vests in four equal annual installments. One-fourth of the underlying shares will vest on March 1 each year, starting on March 1, 2027, aligning the CEO’s potential ownership with longer-term company performance.

What is the exercise price of the CEO’s stock option reported by Shoulder Innovations (SI)?

The exercise price of the stock option is $14.16 per share. This is the fixed price at which Robert Joseph Ball can purchase Shoulder Innovations common stock once the optioned shares have vested over the scheduled period.

How many stock options does Shoulder Innovations (SI) CEO hold after this transaction?

Following this grant, Robert Joseph Ball beneficially owns 265,351 derivative securities in the form of stock options. These options are held directly and are tied to the vesting and exercisability terms disclosed in the Form 4 filing.

When does the stock option granted to the Shoulder Innovations (SI) CEO expire?

The stock option expires on January 30, 2033. This expiration date defines the last day on which vested portions of the option may be exercised to purchase common shares at the specified exercise price of $14.16 per share.

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

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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^*

Ball Robert Joseph

(Last) (First) (Middle)

C/O SHOULDER INNOVATIONS, INC.

1535 STEELE AVENUE SW, SUITE B

(Street)

GRAND RAPIDS MI 49507

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
SHOULDER INNOVATIONS, INC. [ SI ]

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

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO & Executive Chairman

3. Date of Earliest Transaction (Month/Day/Year)
01/30/2026

4. 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 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

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
Stock Option	$14.16	01/30/2026		A		265,351		(1)	01/30/2033	Common Stock	265,351	$0	265,351	D

Explanation of Responses:

1. The stock option vests as to one-fourth of the underlying shares on March 1st each year, beginning on March 1, 2027.

Remarks:

	/s/ Jeffrey Points, as Attorney-in-Fact	02/03/2026
	** 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.
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