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[Form 4] Aquestive Therapeutics, Inc. Insider Trading Activity

Filing Impact
(Low)
Filing Sentiment
(Negative)
Form Type
4
Rhea-AI Filing Summary

Aquestive Therapeutics insider activity: Carl N. Kraus, the company's Chief Medical Officer and an officer/director, reported a transaction on 08/09/2025 in which 10,819 shares of Common Stock were withheld by the issuer to satisfy tax withholding obligations associated with the vesting of previously granted restricted stock units (RSUs). The transaction is reported under code F, indicating shares were retained by the issuer rather than sold in the open market. The per-share amount shown on the form is $3.90.

After the withholding, the reporting person beneficially owns 302,747 shares directly. The filing includes an explanatory remark that the withheld shares were used solely for tax withholding related to RSU vesting.

Attività interna di Aquestive Therapeutics: Carl N. Kraus, Chief Medical Officer e dirigente/amministratore della società, ha segnalato una transazione in data 08/09/2025 nella quale l'emittente ha trattenuto 10.819 azioni di Common Stock per adempiere agli obblighi di ritenuta fiscale connessi al vesting di unità azionarie vincolate (RSU) precedentemente assegnate. La transazione è riportata con codice F, a indicare che le azioni sono state trattenute dall'emittente e non vendute sul mercato aperto. L'importo per azione indicato nel modulo è $3.90.

Dopo la ritenuta, la persona che ha presentato la dichiarazione detiene direttamente a titolo beneficiario 302.747 azioni. La comunicazione riporta una nota esplicativa secondo cui le azioni trattenute sono state utilizzate esclusivamente per la ritenuta fiscale relativa al vesting delle RSU.

Actividad interna de Aquestive Therapeutics: Carl N. Kraus, director médico (Chief Medical Officer) y funcionario/miembro del consejo de la compañía, informó una operación el 08/09/2025 en la que el emisor retuvo 10.819 acciones ordinarias para cubrir obligaciones de retención fiscal asociadas al vesting de unidades restringidas de acciones (RSU) previamente otorgadas. La operación figura bajo el código F, lo que indica que las acciones fueron retenidas por el emisor y no vendidas en el mercado abierto. El importe por acción que aparece en el formulario es $3.90.

Tras la retención, la persona informante posee beneficiariamente de forma directa 302.747 acciones. La presentación incluye la aclaración de que las acciones retenidas se utilizaron únicamente para la retención fiscal relacionada con el vesting de las RSU.

Aquestive Therapeutics ë‚´ë¶€ìž� 거래: 회사ì� 최고ì˜ë£Œì±…ìž„ìž�(CMO)ì´ìž ìž„ì›/ì´ì‚¬ì� Carl N. KrausëŠ� 08/09/2025ì—� ë°œìƒí•� 거래ë¥� 신고했으ë©�, 해당 거래ì—서 발행회사ëŠ� ì´ì „ì—� ë¶€ì—¬ëœ ì œí•œì£¼ì‹ë‹¨ìœ„(RSU)ì� 베스팅과 ê´€ë ¨ëœ ì„¸ê¸ˆ ì›ì²œì§•수 ì˜ë¬´ë¥� 충족하기 위해 10,819ì£�ì� 보통주를 보류했습니다. ì� 거래ëŠ� 코드 Fë¡� ë³´ê³ ë˜ì–´ 발행회사가 주ì‹ì� 보유했고 공개시장ì—서 매ë„하지 않았ìŒì„ 나타냅니ë‹�. 서류ì—� 기재ë� 주당 ê¸ˆì•¡ì€ $3.90입니ë‹�.

ì›ì²œì§•수 í›� ì‹ ê³ ì¸ì€ ì§ì ‘ì ìœ¼ë¡� 수ìµì ìœ¼ë¡� 302,747ì£�ë¥� 보유하고 있습니다. 제출 서류ì—는 보류ë� 주ì‹ì� RSU 베스팅과 ê´€ë ¨ëœ ì„¸ê¸ˆ ì›ì²œì§•수 목ì ìœ¼ë¡œë§� 사용ë˜ì—ˆë‹¤ëŠ” 설명ì� í¬í•¨ë˜ì–´ 있습니다.

Opération d'initié chez Aquestive Therapeutics : Carl N. Kraus, directeur médical (Chief Medical Officer) et dirigeant/membre du conseil, a déclaré une opération en date du 08/09/2025 au cours de laquelle l'émetteur a retenu 10 819 actions ordinaires pour satisfaire des obligations de retenue d'impôt liées au vesting d'unités d'actions restreintes (RSU) précédemment attribuées. L'opération est signalée sous le code F, ce qui indique que les actions ont été conservées par l'émetteur et non vendues sur le marché ouvert. Le montant par action indiqué dans le formulaire est de $3.90.

Après la retenue, la personne déclarante détient directement à titre bénéficiaire 302 747 actions. Le dépôt inclut une remarque explicative précisant que les actions retenues ont été utilisées uniquement pour la retenue d'impôt liée au vesting des RSU.

Insider-Aktivität von Aquestive Therapeutics: Carl N. Kraus, Chief Medical Officer und Geschäftsführer/Direktor des Unternehmens, meldete am 08/09/2025 eine Transaktion, bei der der Emittent 10.819 Aktien der Stammaktien einbehalten hat, um steuerliche Abzugsverpflichtungen im Zusammenhang mit dem Vesting zuvor gewährter Restricted Stock Units (RSU) zu erfüllen. Die Transaktion ist unter Code F gemeldet, was darauf hinweist, dass die Aktien vom Emittenten behalten und nicht am offenen Markt verkauft wurden. Der im Formular angegebene Betrag je Aktie beträgt $3.90.

Nach der Einbehaltung besitzt die meldende Person direkt wirtschaftlich begünstigt 302.747 Aktien. Die Einreichung enthält den Hinweis, dass die einbehaltenen Aktien ausschließlich zur Erfüllung der Steuerabzugsverpflichtung im Zusammenhang mit dem RSU-Vesting verwendet wurden.

Positive
  • Transaction was a tax-withholding of vested RSUs, not an open-market sale, so it did not add selling pressure to the market.
  • Reporting person retains significant ownership with 302,747 shares beneficially owned after the withholding.
Negative
  • None.

Insights

TL;DR: Routine RSU tax withholding; no open-market sale, limited investor impact.

The Form 4 discloses a non-sale transaction where 10,819 shares were withheld to cover tax on vested RSUs at an indicated per-share amount of $3.90, leaving the reporting officer with 302,747 shares. Because the shares were withheld by the issuer (transaction code F), this does not increase market supply or signal liquidity-driven selling by management. The magnitude is modest relative to typical outstanding share counts and should be treated as an administrative consequence of equity compensation rather than a material change to insider ownership.

TL;DR: Consistent with standard equity compensation practices; governance signal is neutral.

The disclosure explicitly states the shares were withheld to satisfy tax obligations on vested RSUs, which is a common mechanism and aligns with typical executive compensation administration. The report shows continued direct ownership of 302,747 shares by the Chief Medical Officer after withholding. There is no indication of extraordinary compensation acceleration, related-party transfer, or open-market disposition, so governance implications are routine and neutral.

Attività interna di Aquestive Therapeutics: Carl N. Kraus, Chief Medical Officer e dirigente/amministratore della società, ha segnalato una transazione in data 08/09/2025 nella quale l'emittente ha trattenuto 10.819 azioni di Common Stock per adempiere agli obblighi di ritenuta fiscale connessi al vesting di unità azionarie vincolate (RSU) precedentemente assegnate. La transazione è riportata con codice F, a indicare che le azioni sono state trattenute dall'emittente e non vendute sul mercato aperto. L'importo per azione indicato nel modulo è $3.90.

Dopo la ritenuta, la persona che ha presentato la dichiarazione detiene direttamente a titolo beneficiario 302.747 azioni. La comunicazione riporta una nota esplicativa secondo cui le azioni trattenute sono state utilizzate esclusivamente per la ritenuta fiscale relativa al vesting delle RSU.

Actividad interna de Aquestive Therapeutics: Carl N. Kraus, director médico (Chief Medical Officer) y funcionario/miembro del consejo de la compañía, informó una operación el 08/09/2025 en la que el emisor retuvo 10.819 acciones ordinarias para cubrir obligaciones de retención fiscal asociadas al vesting de unidades restringidas de acciones (RSU) previamente otorgadas. La operación figura bajo el código F, lo que indica que las acciones fueron retenidas por el emisor y no vendidas en el mercado abierto. El importe por acción que aparece en el formulario es $3.90.

Tras la retención, la persona informante posee beneficiariamente de forma directa 302.747 acciones. La presentación incluye la aclaración de que las acciones retenidas se utilizaron únicamente para la retención fiscal relacionada con el vesting de las RSU.

Aquestive Therapeutics ë‚´ë¶€ìž� 거래: 회사ì� 최고ì˜ë£Œì±…ìž„ìž�(CMO)ì´ìž ìž„ì›/ì´ì‚¬ì� Carl N. KrausëŠ� 08/09/2025ì—� ë°œìƒí•� 거래ë¥� 신고했으ë©�, 해당 거래ì—서 발행회사ëŠ� ì´ì „ì—� ë¶€ì—¬ëœ ì œí•œì£¼ì‹ë‹¨ìœ„(RSU)ì� 베스팅과 ê´€ë ¨ëœ ì„¸ê¸ˆ ì›ì²œì§•수 ì˜ë¬´ë¥� 충족하기 위해 10,819ì£�ì� 보통주를 보류했습니다. ì� 거래ëŠ� 코드 Fë¡� ë³´ê³ ë˜ì–´ 발행회사가 주ì‹ì� 보유했고 공개시장ì—서 매ë„하지 않았ìŒì„ 나타냅니ë‹�. 서류ì—� 기재ë� 주당 ê¸ˆì•¡ì€ $3.90입니ë‹�.

ì›ì²œì§•수 í›� ì‹ ê³ ì¸ì€ ì§ì ‘ì ìœ¼ë¡� 수ìµì ìœ¼ë¡� 302,747ì£�ë¥� 보유하고 있습니다. 제출 서류ì—는 보류ë� 주ì‹ì� RSU 베스팅과 ê´€ë ¨ëœ ì„¸ê¸ˆ ì›ì²œì§•수 목ì ìœ¼ë¡œë§� 사용ë˜ì—ˆë‹¤ëŠ” 설명ì� í¬í•¨ë˜ì–´ 있습니다.

Opération d'initié chez Aquestive Therapeutics : Carl N. Kraus, directeur médical (Chief Medical Officer) et dirigeant/membre du conseil, a déclaré une opération en date du 08/09/2025 au cours de laquelle l'émetteur a retenu 10 819 actions ordinaires pour satisfaire des obligations de retenue d'impôt liées au vesting d'unités d'actions restreintes (RSU) précédemment attribuées. L'opération est signalée sous le code F, ce qui indique que les actions ont été conservées par l'émetteur et non vendues sur le marché ouvert. Le montant par action indiqué dans le formulaire est de $3.90.

Après la retenue, la personne déclarante détient directement à titre bénéficiaire 302 747 actions. Le dépôt inclut une remarque explicative précisant que les actions retenues ont été utilisées uniquement pour la retenue d'impôt liée au vesting des RSU.

Insider-Aktivität von Aquestive Therapeutics: Carl N. Kraus, Chief Medical Officer und Geschäftsführer/Direktor des Unternehmens, meldete am 08/09/2025 eine Transaktion, bei der der Emittent 10.819 Aktien der Stammaktien einbehalten hat, um steuerliche Abzugsverpflichtungen im Zusammenhang mit dem Vesting zuvor gewährter Restricted Stock Units (RSU) zu erfüllen. Die Transaktion ist unter Code F gemeldet, was darauf hinweist, dass die Aktien vom Emittenten behalten und nicht am offenen Markt verkauft wurden. Der im Formular angegebene Betrag je Aktie beträgt $3.90.

Nach der Einbehaltung besitzt die meldende Person direkt wirtschaftlich begünstigt 302.747 Aktien. Die Einreichung enthält den Hinweis, dass die einbehaltenen Aktien ausschließlich zur Erfüllung der Steuerabzugsverpflichtung im Zusammenhang mit dem RSU-Vesting verwendet wurden.

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Kraus Carl N

(Last) (First) (Middle)
C/O AQUESTIVE THERAPEUTICS, INC.
30 TECHNOLOGY DRIVE

(Street)
WARREN NJ 07059

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Aquestive Therapeutics, Inc. [ AQST ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Medical Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/09/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/09/2025 F 10,819(1) D $3.9 302,747 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.
Remarks:
/s/ Lori Braender, as Attorney-In-Fact 08/12/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

FAQ

What did the Form 4 filed for AQST report?

The Form 4 reports that CMO Carl N. Kraus had 10,819 shares withheld to satisfy tax withholding on vested RSUs; he holds 302,747 shares following the transaction.

Was the reported transaction an open-market sale for AQST (AQST)?

No. The transaction is reported under code F, indicating shares were withheld by the issuer for tax purposes, not sold in the open market.

When did the RSU-related withholding occur?

The Form shows the transaction date as 08/09/2025 and an explanatory note that the shares were withheld to satisfy tax withholding on RSU vesting.

What per-share amount is shown on the Form 4 for the withheld shares?

The form lists a per-share amount of $3.90 associated with the transaction record.

Who signed or submitted the Form 4 for the reporting person?

The filing is signed by Lori Braender, as Attorney-In-Fact, per the form signature block.
Aquestive Therapeutics

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