Director Douglas Carl Fisher filed an initial statement of beneficial ownership with the U.S. Securities and Exchange Commission on October 29, 2026, disclosing his status as a newly reporting person at Aspen Neuroscience, Inc.

Key Highlights

  • Reporting person: Douglas Carl Fisher, listed as a Director of Aspen Neuroscience, Inc.
  • Date of event requiring statement: October 29, 2026, which is also the filing date.
  • No securities held: The filing states explicitly, "No securities are beneficially owned."
  • Both tables empty: Table I (non-derivative securities) and Table II (derivative securities) contain no entries.
  • Signed by attorney-in-fact: The form was signed by Jeffrey L. Boerneke as Attorney-in-Fact on October 29, 2026.
  • Issuer trading symbol: Aspen Neuroscience, Inc. is listed under the ticker ASPE.

Fisher Joins Aspen Neuroscience Board With No Initial Securities Position

According to the filing, Douglas Carl Fisher submitted a Form 3 - Initial Statement of Beneficial Ownership of Securities - in connection with his role as a Director of Aspen Neuroscience, Inc. (NASDAQ:ASPE). The event requiring the statement occurred on October 29, 2026, consistent with his becoming subject to Section 16(a) reporting obligations under the Securities Exchange Act of 1934.

The filing discloses no holdings in either non-derivative or derivative securities. Both Table I, covering directly or indirectly owned non-derivative securities, and Table II, covering instruments such as options, warrants, and convertible securities, were left blank. The filing's remarks section states plainly: "No securities are beneficially owned." Fisher's address of record is listed as 10835 Road to the Cure, Suite 100, San Diego, California 92121.

The form was filed by one reporting person and was signed by Jeffrey L. Boerneke as Attorney-in-Fact, pursuant to an Exhibit 24 Power of Attorney referenced in the filing. The filing indicates Fisher's sole relationship to the issuer at the time of submission is that of Director, with no 10% owner or officer designation checked.

What Was Disclosed

Douglas Carl Fisher, a Director of Aspen Neuroscience, Inc., filed an initial ownership statement dated October 29, 2026, reporting no beneficial ownership of any securities, either direct or indirect, in non-derivative or derivative form.