Lisa Johnson-Pratt, Chief Commercial Officer of Aspen Neuroscience, Inc. (NASDAQ:ASPE), filed an initial statement of beneficial ownership on October 29, 2026, disclosing three stock option grants covering a total of 146,729 shares of common stock.

Key Highlights

  • Reporting person and role: Lisa Johnson-Pratt identified as Chief Commercial Officer of Aspen Neuroscience, Inc.
  • First option grant: 40,477 shares of common stock underlying a stock option with an exercise price of $7.42, expiring March 27, 2034, granted March 28, 2024.
  • Second option grant: 40,477 shares of common stock underlying a stock option with an exercise price of $8.70, expiring December 10, 2034, granted December 11, 2024.
  • Third option grant: 65,775 shares of common stock underlying a stock option with an exercise price of $5.74, expiring November 25, 2035, granted November 26, 2025.
  • No direct securities: Table I reporting non-derivative securities beneficially owned shows no entries.
  • All options held directly: Each of the three derivative securities is reported as directly owned.

Johnson-Pratt's Initial Ownership Disclosure at Aspen Neuroscience

According to the filing, Lisa Johnson-Pratt submitted this initial statement of beneficial ownership in connection with her role as Chief Commercial Officer at Aspen Neuroscience, Inc. (NASDAQ:ASPE). The filing reports no non-derivative securities held directly or indirectly. All disclosed holdings consist of stock options representing rights to purchase shares of common stock.

The first stock option, granted March 28, 2024, covers 40,477 shares at an exercise price of $7.42 per share, with an expiration date of March 27, 2034. According to the filing, one-quarter of this option vested and became exercisable on January 16, 2025, with 1/48th vesting on the same day of each subsequent month, subject to continued service. The second option, granted December 11, 2024, also covers 40,477 shares at an exercise price of $8.70 per share, expiring December 10, 2034. The filing states that one-quarter vested on September 21, 2025, with 1/48th vesting monthly thereafter, again subject to continued service.

The third option, granted November 26, 2025, covers 65,775 shares at an exercise price of $5.74 per share, expiring November 25, 2035. The filing states that 1/48th of this option vests monthly beginning December 20, 2025, subject to continued service through each vesting date. The filing was signed by Jeffrey L. Boerneke as Attorney-in-Fact pursuant to Exhibit 24, a Power of Attorney.

What Was Disclosed

Aspen Neuroscience Chief Commercial Officer Lisa Johnson-Pratt filed an initial beneficial ownership statement on October 29, 2026, disclosing three stock options covering 146,729 shares of common stock in total, all held directly, with no non-derivative securities reported.