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Alector Inc

For the period ended Jun 30, 2024. Filed Aug 7, 2024.

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About this filing

A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Jun 30, 2024 · Filed Aug 7, 2024

ALEC$2.29+9.6%Stored close · as of Nov 6, 2026

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Other Information

Item 5. Other Information

(a) None.

(b) None.

(c) During our last fiscal quarter, the following officers and directors adopted a “Rule 10b5-1 trading arrangement” as defined in Regulation S-K Item 408, as follows:

On May 10, 2024, Paula Hammond, a member of the Company’s Board of Directors, adopted a Rule 10b5-1 trading plan. This plan provides for the sale from time to time of an aggregate of up to 10,500 shares of the Company’s common stock. Sales of the shares of the Company’s common stock set forth in Dr. Hammond's trading plan, if any, will be made at or above specified market prices. The trading plan will expire on August 9, 2025, or earlier if all transactions under the trading plan are completed. Dr. Hammond’s trading plan was entered into during an open insider trading window and is intended to satisfy the affirmative defense in Rule 10b5-1(c) under the Exchange Act and the Company’s policies regarding insider transactions.

On May 10, 2024, Kristine Yaffe, a member of the Company’s Board of Directors, adopted a Rule 10b5-1 trading plan. This plan provides for the sale from time to time of an aggregate of up to 5,000 shares of the Company’s common stock. Sales of the shares of the Company’s common stock set forth in Dr. Yaffe's trading plan, if any, will be made at or above specified market prices. The trading plan will expire on August 9, 2025, or earlier if all transactions under the trading plan are completed. Dr. Yaffe’s trading plan was entered into during an open insider trading window and is intended to satisfy the affirmative defense in Rule 10b5-1(c) under the Exchange Act and the Company’s policies regarding insider transactions.

On May 16, 2024, Gary Romano, the Company’s Chief Medical Officer, adopted a Rule 10b5-1 trading plan. Dr. Romano’s plan provides for (i) the exercise of vested stock options to purchase an aggregate of up to 249,562 shares of the Company's common stock, and (ii) the sale from time to time of an aggregate of up to 86,996 shares of the Company’s common stock. Sales of the shares of the Company’s common stock set forth in Dr. Romano's trading plan, if any, will be made at or above specified market prices. The trading plan will expire on November 28, 2025, or earlier if all transactions under the trading plan are completed. Dr. Romano’s trading plan was entered into during an open insider trading window and is intended to satisfy the affirmative defense in Rule 10b5-1(c) under the Exchange Act and the Company’s policies regarding insider transactions.

On June 21, 2024, Sara Kenkare-Mitra, the Company’s President and Head of Research and Development, adopted a Rule 10b5-1 trading plan. Dr. Kenkare-Mitra’s plan provides for (i) the exercise of vested stock options to purchase an aggregate of up to 25,474 shares of the Company's common stock, and (ii) the sale from time to time of an aggregate of up to 124,194 shares of the Company’s common stock. Sales of the shares of the Company’s common stock set forth in Dr. Kenkare-Mitra 's trading plan, if any, will be made at or above specified market prices. The trading plan will expire on December 31, 2025, or earlier if all transactions under the trading plan are completed. Dr. Kenkare-Mitra’s trading plan was entered into during an open insider trading window and is intended to satisfy the affirmative defense in Rule 10b5-1(c) under the Exchange Act and the Company’s policies regarding insider transactions.

Other than as disclosed above, during our last fiscal quarter, no other officer or director (as defined in Rule 16a-1(f) under the Exchange Act)adopted orterminated a “Rule 10b5-1 trading arrangement” or a "non-Rule 10b5-1 trading arrangement" (each as defined in Item 408 of Regulation S-K).

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