Alto Neuroscience, Inc.
For the period ended Jun 30, 2026. Filed Aug 12, 2026.
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Jun 30, 2026 · Filed Aug 12, 2026
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Item 5. Other Information
Trading Arrangements
During the Company’s last fiscal quarter, certain of our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted contracts, instructions or written plans for the purchase or sale of the Company’s securities as set forth below.
On June 30, 2026, Nicholas Smith, our Chief Financial Officer and Chief Business Officer, adopted a Rule 10b5-1 trading plan for the potential sale of up to 134,886 shares of our common stock. Transactions under Mr. Smith’s plan were based upon pre-established dates and stock price thresholds and would only occur upon the expiration of the applicable mandatory cooling-off period. Mr. Smith’s plan has a termination date of June 30, 2027, or the date all shares subject to the plan have been sold.
Mr. Smith’s plan is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
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