Thompson Peter A.'s Form 4 filing
Aspen Neuroscience, Inc.ASPE · filed Nov 4, 2026
- Accession no.
- 0000947871-26-000981
- Filed
- Nov 4, 2026, 6:47 PM ET
- Trade date
- Nov 2, 2026
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 6 non-derivative transactions and 5 derivative transactions. Open-market purchases total $15.0M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Thompson Peter A.CIK 0001357522 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2026 | Common Stock | CConversionAcquired | +196,541 | –F1 | – | 196,541 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionAcquired | +642,745 | –F1 | – | 839,286 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionAcquired | +616,984 | –F1 | – | 1,456,270 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionAcquired | +625,743 | –F1 | – | 2,082,013 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionAcquired | +507,119 | –F1 | – | 2,589,132 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | PPurchaseAcquired | +1,000,000 | $15.00 | +$15,000,000 | 3,589,132 | Indirect | Duplicate filing |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 2, 2026 | Common Stock | CConversionDisposed | −196,541 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionDisposed | −642,745 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionDisposed | −616,984 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionDisposed | −625,743 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
| Nov 2, 2026 | Common Stock | CConversionDisposed | −507,119 | $0.00 | $0 | 0 | Indirect | Duplicate filing |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Pursuant to the Issuer's Amended and Restated Certificate of Incorporation, as amended, each share of Series Seed-2 Convertible Preferred Stock, Series A-1 Convertible Preferred Stock, Series A-2 Convertible Preferred Stock, Series B Convertible Preferred Stock, and Series C Convertible Preferred Stock (collectively, the "Preferred Stock") was convertible, at the option of the holder, at any time. In connection with the completion of the Issuer's initial public offering of its Common Stock, each share of Preferred Stock automatically converted on a 1-for-9.8821 basis into shares of Common Stock, for no additional consideration. Share numbers give effect to such conversion. The securities have no expiration date.
Referenced by the price of 5 transactions in Table I.