Director Daniel Thomas O filed an initial statement of beneficial ownership (Form 3) with the SEC on October 29, 2026, disclosing five stock option grants in Aspen Neuroscience, Inc. (NASDAQ:ASPE).

Key Highlights

  • Reporting person: Daniel Thomas O, identified as a Director of Aspen Neuroscience, Inc.
  • Event date: October 29, 2026, triggering the initial beneficial ownership filing.
  • Five stock options disclosed: covering a total of 113,819 shares of Common Stock across five separate grants.
  • Three fully vested options: 17,706 shares at $3.46 (granted September 25, 2020), 25,279 shares at $3.46 (granted January 4, 2021), and 24,286 shares at $7.71 (granted June 16, 2022).
  • Two partially vesting options: 36,429 shares at $5.74 (granted November 26, 2025) and 10,119 shares at $5.74 (granted December 12, 2025), each vesting 1/48th monthly beginning December 20, 2025.
  • No directly owned shares: Table I, covering non-derivative securities, lists no holdings.

Daniel Thomas O's Option Holdings at Aspen Neuroscience

According to the Form 3 filing, Daniel Thomas O holds five stock options (rights to buy) in Aspen Neuroscience, Inc., all classified as direct ownership. The three earlier grants are fully vested and exercisable: 17,706 shares with an exercise price of $3.46 and an expiration date of September 24, 2030; 25,279 shares at $3.46 expiring January 3, 2031; and 24,286 shares at $7.71 expiring June 15, 2032.

The two more recent grants are in the process of vesting. The filing states that 36,429 shares at $5.74, expiring November 25, 2035, and 10,119 shares at $5.74, expiring December 11, 2035, each vest at a rate of "1/48th of the option" monthly beginning December 20, 2025, "subject to the Reporting Person's continued service through each vesting date." Both were granted in late 2025.

The filing reports no non-derivative securities held directly or indirectly by the reporting person. The Form 3 was signed by Jeffrey L. Boerneke as Attorney-in-Fact under a Power of Attorney (Exhibit 24), and was submitted on October 29, 2026.

What Was Disclosed

Daniel Thomas O, a Director at Aspen Neuroscience, Inc. (NASDAQ:ASPE), disclosed beneficial ownership of five stock options covering 113,819 shares of Common Stock across exercise prices of $3.46, $7.71, and $5.74, with varying vesting statuses and expiration dates through 2035.