10/22/2026 | Press release | Distributed by Public on 10/22/2026 17:15
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FORM 3
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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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| 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. | |||
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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) |
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 10/19/2031 | Common Stock | 166,345 | $1.63 | D | |
| Stock Option (Right to Buy) | (2) | 06/27/2034 | Common Stock | 155,255 | $2.44 | D | |
| Stock Option (Right to Buy) | (3) | 02/09/2036 | Common Stock | 22,179 | $2.35 | D | |
| Stock Option (Right to Buy) | (4) | 08/10/2036 | Common Stock | 110,896 | $3.7 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Staben Steven C/O LYCIA THERAPEUTICS, INC. 400 EAST JAMIE COURT, SUITE 200 SOUTH SAN FRANCISCO, CA 94080 |
X | Chief Scientific Officer | ||
| /s/ Amy Bachrodt, Attorney-in-Fact | 10/22/2026 | |
| **Signature of Reporting Person | Date |
| * | 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 options are fully vested. |
| (2) | The options vested as to 1/48 of the total award on July 27, 2024, and an additional 1/48 of the award will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| (3) | The options vested as to 1/48 of the total award on February 1, 2026, and an additional 1/48 of the award will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |
| (4) | The options vested as to 1/48 of the total award on September 6, 2026, and an additional 1/48 of the award will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. |