Aspen Neuroscience Inc.

10/29/2026 | Press release | Archived content

Initial Statement of Beneficial Ownership (Form 3)

FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
Johnson-Pratt Lisa
2. Date of Event Requiring Statement (Month/Day/Year)
10/29/2026
3. Issuer Name and Ticker or Trading Symbol
Aspen Neuroscience, Inc. [ASPE]
(Last) (First) (Middle)
10835 ROAD TO THE CURE, SUITE 100
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Commercial Officer
5. If Amendment, Date Original Filed (Month/Day/Year)
(Street)
SAN DIEGO, CA 92121
6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1473 (7-02)
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(Month/Day/Year)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) (1) 03/27/2034 Common Stock 40,477 $7.42 D
Stock Option (Right to Buy) (2) 12/10/2034 Common Stock 40,477 $8.7 D
Stock Option (Right to Buy) (3) 11/25/2035 Common Stock 65,775 $5.74 D

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Johnson-Pratt Lisa
10835 ROAD TO THE CURE, SUITE 100
SAN DIEGO, CA 92121
Chief Commercial Officer

Signatures

By: /s/ Jeffrey L. Boerneke, as Attorney-in-Fact 10/29/2026
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 5(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).
(1) The option was granted on March 28, 2024. 1/4th of the option vested and became exercisable on January 16, 2025, and 1/48th of the option shall vest and become exercisable on the same day of each month thereafter, subject to the Reporting Person's continued service through each vesting date.
(2) The option was granted on December 11, 2024. 1/4th of the option vested and became exercisable on September 21, 2025, and 1/48th of the option shall vest and become exercisable on the same day of each month thereafter, subject to the Reporting Person's continued service through each vesting date.
(3) The option was granted on November 26, 2025. 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.

Remarks:
Exhibit 24 - Power of Attorney
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
Aspen Neuroscience Inc. published this content on October 29, 2026, and is solely responsible for the information contained herein. Distributed via EDGAR on November 02, 2026 at 09:01 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]