10/29/2026 | Press release | Distributed by Public on 10/29/2026 14:27
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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) | 12/18/2034 | Common Stock | 103,891 | $0.34 | D | |
| Stock Option (right to buy) | (2) | 12/18/2034 | Common Stock | 141,290 | $0.34 | D | |
| Stock Option (right to buy) | (3) | 12/18/2034 | Common Stock | 23,172 | $0.34 | D | |
| Stock Option (right to buy) | (4) | 12/18/2034 | Common Stock | 15,448 | $0.34 | D | |
| Stock Option (right to buy) | (5) | 08/15/2035 | Common Stock | 128,503 | $1.84 | D | |
| Stock Option (right to buy) | (6) | 09/17/2036 | Common Stock | 261,079 | $13.57 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Ho Minh Quoc Thang C/O BAMBUSA THERAPEUTICS, INC. 22 BOSTON WHARF ROAD, FLOOR 7 BOSTON, MA 02210 |
See remarks | |||
| /s/ Jonathan I. Lieber, as attorney-in-fact | 10/29/2026 | |
| **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) | Subject to the Reporting Person continuing to be an Employee (as defined in the Issuer's 2024 Stock Plan) through each applicable date, twenty five percent (25%) of the shares subject to the option shall vest on the one (1) year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). "Vesting Commencement Date" shall mean April 15, 2024. |
| (2) | Subject to the Reporting Person continuing to be an Employee (as defined in the Issuer's 2024 Stock Plan) through each applicable date, one forty-eighth (1/48th) of the shares subject to the option shall vest each month following the Vesting Commencement Date on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). "Vesting Commencement Date" shall mean April 15, 2024. |
| (3) | Subject to the Reporting Person continuing to be an Employee (as defined in the Issuer's 2024 Stock Plan) through each applicable date, 1/48th of such shares on each monthly anniversary of the date that the Company obtains its first first-in-human trial approval from the FDA or a comparable non-U.S. regulatory body (which was obtained on January 31, 2025). |
| (4) | Subject to the Reporting Person continuing to be an Employee (as defined in the Issuer's 2024 Stock Plan) through each applicable date, 1/48th of the total number of such shares on each monthly anniversary of the date that the Company obtains its second first-in-human trial approval from the FDA or a comparable non-U.S. regulatory body (which was obtained on May 6, 2025). |
| (5) | Subject to the Reporting Person continuing to be an Employee (as defined in the Issuer's 2024 Stock Plan) through each applicable date, twenty five percent (25%) of the shares subject to the option shall vest on the one (1) year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). "Vesting Commencement Date" shall mean June 19, 2025. |
| (6) | Subject to the Reporting Person continuing to be an Employee (as defined in the Issuer's 2024 Stock Plan) through each applicable date, twenty five percent (25%) of the shares subject to the option shall vest on the one (1) year anniversary of the Vesting Commencement Date, and one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter on the same day of the month as the Vesting Commencement Date (and if there is no corresponding day, on the last day of the month). "Vesting Commencement Date" shall mean September 18, 2026. |
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Remarks: Co-Founder and Chief Development Officer; Exhibit 24 - Power of Attorney |
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