06/29/2026 | Press release | Distributed by Public on 06/29/2026 14:31
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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 | ||||
| Employee Stock Option (right to buy) | (3) | 11/14/2034 | Common Stock | 25,000(1) | $4.01 | D | |
| Employee Stock Option (right to buy) | (4) | 07/07/2035 | Common Stock | 48,000(1) | $4.96 | D | |
| Employee Stock Option (right to buy) | (5) | 11/24/2035 | Common Stock | 60,000(1) | $5.55 | D | |
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Marshall Richard Henry 6272 W. 91ST AVENUE WESTMINSTER, CO 80031 |
Chief Medical Officer | |||
| /s/ Mary Szela, Attorney-in-Fact | 06/29/2026 | |
| **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) | The securities reported herein were acquired by the Reporting Person prior to the Reporting Person becoming an executive officer of the Issuer. The Reporting Person was appointed as an executive officer of the Issuer effective June 29, 2026. |
| (2) | Consists of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU Award shall vest in four equal annual installments commencing on the one-year anniversary of the grant date of November 24, 2025, subject to the Reporting Person's continued service with the Issuer on each respective vesting date. |
| (3) | One-fourth (1/4th) of the shares subject to the option vested on the one-year anniversary of the vesting commencement date of November 14, 2024 (the "VCD"), and 1/36th of the remaining shares shall vest each month thereafter on the same day of the month as the VCD, subject to the Reporting Person's continuous service with the Issuer on each respective vesting date. |
| (4) | One-fourth (1/4th) of the shares subject to the option vested on the one-year anniversary of the vesting commencement date of June 2, 2025 (the "VCD"), and 1/36th of the remaining shares shall vest each month thereafter on the same day of the month as the VCD, subject to the Reporting Person's continuous service with the Issuer on each respective vesting date. |
| (5) | One-fourth (1/4th) of the shares subject to the option shall vest on the one-year anniversary of the vesting commencement date of November 24, 2025 (the "VCD"), and 1/36th of the remaining shares shall vest each month thereafter on the same day of the month as the VCD, subject to the Reporting Person's continuous service with the Issuer on each respective vesting date. |