SEC FORM 3SEC Form 3
| FORM 3 | 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 | | OMB APPROVAL | | OMB Number: | 3235-0104 | | Estimated average burden | | hours per response: | 0.5 |
|
|
1. Name and Address of Reporting Person*
| C/O BRAVEHEART BIO, INC. | | ONE LETTERMAN DR., BLDG. A, SUITE A4-300 |
(Street)
| 2. Date of Event Requiring Statement
(Month/Day/Year)
08/05/2026 | 3. Issuer Name and Ticker or Trading Symbol
Braveheart Bio, Inc.
[ BRVE ]
Foreign Trading Symbol
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable) | Director | | 10% Owner |  | Officer (give title below) | | Other (specify below) | | Chief Financial Officer |
| 5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
| Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
| 2.
Amount of Securities Beneficially Owned (Instr.
4)
| 3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
| 4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
|---|
| Common Stock | 91,324 | I | By Rickey Trust CR |
| Common Stock | 91,324 | I | By Rickey Trust BR |
| Common Stock | 493,150 | D | |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
|---|
| 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: Direct (D) or Indirect (I) (Instr.
5)
| 6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
|---|
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
|---|
| Explanation of Responses: |
|
| Remarks: |
|
| /s/ James Paul Rickey | 08/05/2026 |
| ** 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
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). |
| 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. |
LIMITED POWER OF ATTORNEY
The undersigned hereby constitutes and appoints Natalie Dement, signing
singly, and with full power of substitution, the undersigned's true and
lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer, director, and/or securityholder of Braveheart
Bio, Inc., a Delaware corporation (the "Company"), from time to time the
following U.S. Securities and Exchange Commission ("SEC") forms: (i)
Form 3, Initial Statement of Beneficial Ownership of Securities,
including any attached documents; (ii) Form 4, Statement of Changes in
Beneficial Ownership of Securities, including any attached documents;
(iii) Form 5, Annual Statement of Beneficial Ownership of Securities in
accordance with Section 16(a) of the Securities Exchange Act of 1934, as
amended, and the rules thereunder, including any attached documents;
(iv) Schedules 13D and 13G; and (v) amendments of each thereof, in
accordance with the Securities Exchange Act of 1934, as amended, and the
rules thereunder, including any attached documents;
(2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to complete and execute any such
Form 3, 4 or 5, Schedule 13D or 13G, or any amendment(s) thereto and
timely file such form(s) with the SEC and any securities exchange,
national association or similar authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of
benefit to, in the best interest of, or legally required by, the
undersigned, it being understood that the documents executed by such
attorney-in-fact on behalf of the undersigned pursuant to this Power of
Attorney shall be in such form and shall contain such terms and
conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to such attorney-in-fact, acting singly, full
power and authority to do and perform any and every act and thing whatsoever
requisite, necessary or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 or Regulation 13D-G of
the Securities Exchange Act of 1934, as amended. The undersigned hereby agrees
to indemnify the attorneys-in-fact and the Company from and against any demand,
damage, loss, cost or expense arising from any false or misleading information
provided by the undersigned to the attorneys-in-fact.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file such forms with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact. This Power of Attorney supersedes any prior power
of attorney in connection with the undersigned's capacity as an officer and/or
director of the Company. This Power of Attorney shall expire as to any
individual attorney-in-fact if such attorney-in-fact ceases to be an employee of
the Company.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of August 5, 2026.
/s/ James Paul Rickey
Signature
James Paul Rickey
Print Name
