Thomas John Freeburg filed an initial statement of beneficial ownership with the SEC on November 12, 2026, disclosing his holdings as Chief Financial Officer of Niki BioSolutions, Inc. following an event date of October 9, 2026.

Key Highlights

  • Reporting person: Thomas John Freeburg, Chief Financial Officer of Niki BioSolutions, Inc. (NASDAQ:NIKI).
  • Derivative security disclosed: Stock options to purchase 75,000 shares of common stock, granted September 1, 2026, at an exercise price of $8.83 per share, expiring September 1, 2036.
  • Vesting schedule (tranche 1): 15,000 options vest upon the filing of the issuer's first full Annual Report following the merger.
  • Vesting schedule (tranche 2): 20,000 options vest in equal quarterly installments over eight quarters following September 1, 2026.
  • Vesting schedule (tranche 3): 15,000 options vest upon the issuer raising an aggregate of $5,000,000 in cumulative capital investments.
  • Vesting schedule (tranche 4): 25,000 options vest upon a change in control of the issuer, with all unvested options accelerating upon such an event.
  • No non-derivative securities: Table I of the filing lists no directly or indirectly held non-derivative securities.

Freeburg's Initial Beneficial Ownership Disclosure at Niki BioSolutions

According to the filing, Thomas John Freeburg submitted this Form 3 as an officer of Niki BioSolutions, Inc., listed on NASDAQ under the ticker NIKI. The event requiring the statement occurred on October 9, 2026, and the form was signed and filed on November 12, 2026. Freeburg's address is listed as c/o Niki BioSolutions, Inc., 116 Village Boulevard, Suite 200, Princeton, New Jersey 08540.

The filing discloses one derivative security position: stock options covering 75,000 shares of common stock, granted on September 1, 2026, at an exercise price of $8.83 per share, with an expiration date of September 1, 2036. The options are held directly. The filing reports no non-derivative securities beneficially owned by Freeburg at the time of the statement.

As described in the filing's explanation of responses, the 75,000 options vest across four distinct tranches tied to separate milestones: annual report filing following a merger, quarterly time-based installments, a capital-raising threshold of $5,000,000, and a change-in-control event. The filing states that "all unvested options will accelerate and vest upon a change in control, subject to the terms of the applicable equity incentive plan."

What Was Disclosed

Freeburg's Form 3 discloses his initial beneficial ownership as CFO of Niki BioSolutions, consisting solely of stock options for 75,000 shares of common stock granted September 1, 2026, at $8.83 per share, with milestone-based and time-based vesting across four tranches.