09/08/2026 | Press release | Distributed by Public on 09/08/2026 14:06
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Gagnon Robert E. C/O OPUS GENETICS, INC. 8 DAVIS DRIVE, SUITE 220 DURHAM, NC 27713 |
Chief Financial Officer | |||
| /s/ Amy Rabourn, by Power of Attorney | 09/08/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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) | A portion of the shares reported on this line were sold automatically on behalf of the Reporting Person, as required by the Issuer, to satisfy tax withholding obligations that arose in connection with the vesting and settlement of restricted stock units, and the remainder of the shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 30, 2026. The Rule 10b5-1 trading plan is a pre-arranged written trading plan pursuant to which shares of the Issuer's common stock are sold automatically based on a predetermined formula that was established by the Reporting Person at a time when the Reporting Person was not aware of any material nonpublic information about the Issuer. |
| (2) | The price in column 4 represents the weighted average price. The shares were sold in multiple transactions at prices ranging from $4.29 to $4.79, inclusive. The Reporting Person undertakes to provide the Issuer, any securityholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |