Director Caryn Peterson filed a Form 3 Initial Statement of Beneficial Ownership with the SEC on October 29, 2026, disclosing three stock option positions at Aspen Neuroscience, Inc. (NASDAQ:ASPE).

Key Highlights

  • Reporting person: Caryn Peterson, identified as a Director of Aspen Neuroscience, Inc.
  • No direct share holdings: Table I reports no non-derivative securities beneficially owned.
  • Option 1: 27,011 shares underlying a stock option at an exercise price of $3.96, expiring 06/30/2031, fully vested and exercisable.
  • Option 2: 10,119 shares underlying a stock option at an exercise price of $7.71, expiring 06/15/2032, fully vested and exercisable.
  • Option 3: 19,226 shares underlying a stock option at an exercise price of $5.74, expiring 11/25/2035, vesting at 1/48th per month beginning December 20, 2025.
  • Event date: October 29, 2026, identified as the date of the event requiring the statement.

Caryn Peterson's Stock Option Holdings at Aspen Neuroscience

According to the filing, Caryn Peterson holds three stock options in Aspen Neuroscience, Inc. (NASDAQ:ASPE), all classified as direct ownership. No non-derivative securities, such as common shares held outright, were reported in Table I of the Form 3.

The first option, granted on July 1, 2021, covers 27,011 shares of common stock at an exercise price of $3.96 per share and expires June 30, 2031. The second option, granted on June 16, 2022, covers 10,119 shares at an exercise price of $7.71 per share and expires June 15, 2032. The filing states both options are "fully vested and exercisable."

The third option, granted on November 26, 2025, covers 19,226 shares at an exercise price of $5.74 per share and expires November 25, 2035. According to the filing, "1/48th of the option shall vest and become exercisable monthly beginning on December 20, 2025, subject to the Reporting Person's continued service through each vesting date." The filing was signed by Jeffrey L. Boerneke as attorney-in-fact under a Power of Attorney (Exhibit 24).

What Was Disclosed

Caryn Peterson, a Director at Aspen Neuroscience, Inc., filed an initial beneficial ownership statement disclosing three stock options covering a combined 56,356 shares of common stock, with exercise prices ranging from $3.96 to $7.71, and no directly held common shares.