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Derivative exercise or conversion — not an open-market buy.
Written from the filing's own figures. OQRO describes what was reported and never tells you what to buy or sell.
View the official recordSEC Form 4 — Statement of Changes in Beneficial OwnershipAll the details
Dates, kept separate
Transaction date
Nov 2, 2026
Reporting period
Not applicable
Filed with the SEC
Nov 4, 2026
DirectorIndirect holdingOption exercise
Context
Classification
option exercise
Code C — exercise or conversion of a derivative security
Planned / mechanical clue
None found in footnotes
Only flagged when a footnote says so; never inferred
Source receipt
Record ID
0000947871-26-000981
Filed / recorded
Nov 4, 2026, 11:47 PM UTC
Added to OQRO
Nov 4, 2026, 11:51 PM UTC
Parser
form4-xml-v2
Data quality
Verified: identifiers matched exactly
Issuer
Aspen Neuroscience, Inc.
Issuer CIK
2124080
Ticker
ASPE
Reporting person
Peter A. Thompson
Relationship
Director, 10% owner
Security
Series Seed-2 Convertible Preferred Stock
Table
Derivative (Table II)
Transaction date
Nov 2, 2026
Transaction code
C
Shares / units
196,541
Price per share
$0.00
Acquired / disposed
Disposed (D)
Shares owned after
0
Ownership form
Indirect — See footnotes
Amendment
No
Footnotes from the filing
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.
Securities held by OrbiMed Private Investments VII, LP ("OPI VII"). OrbiMed Capital GP VII LLC ("OrbiMed GP") is the general partner of OPI VII. OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power with respect to the shares held by OPI VII. OrbiMed Advisors exercises investment and voting power through a management committee comprised of Carl L. Gordon, W. Carter Neild, and Geoffrey C. Hsu, each of whom disclaims beneficial ownership of the shares held by OPI VII, except to the extent of its or his pecuniary interest therein if any.
Each of the Reporting Person, OrbiMed Advisors, and OrbiMed GP disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, OrbiMed Advisors, or OrbiMed GP is a beneficial owner of such securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
A Schedule 13D means the holder owns more than 5% and keeps the option to push for changes: board seats, a sale, buybacks. It must be filed within 5 business days.
A Schedule 13G is filed by holders above 5% who say they will not try to influence the company. Index funds and large asset managers file most of them.
Every dated public record OQRO holds about the company from 60 days before to 120 days after, oldest first. It shows what was going on; none of it is a stated reason for the trade.