Avalo Therapeutics, Inc.
For the period ended Sep 30, 2026. Filed Nov 5, 2026.
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Sep 30, 2026 · Filed Nov 5, 2026
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Item 5. Other Information
(c) Director and Officer Trading Plans and Arrangements
During the three months ended September 30, 2026, the following directors and executive officers adopted, modified orterminated contracts, instructions or written plans for purchase or sale of our securities as follows:
| Name and Title | Type of Trading Arrangement | Action Taken (Date of Action) | Duration or End Date | Aggregate Numbers of Securities to be Sold(1) | Description of Trading Arrangement |
|---|---|---|---|---|---|
| Garry Neil, M.D., Chief Executive Officer | Trading plan intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c) | Modification (August 25, 2026) | June 30, 2027 | 90,000 | Exercises of vested stock options and sales of shares of the Company’s common stock pursuant to terms of the trading plan |
| Jennifer Riley, Chief Strategy Officer | Trading plan intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c) | Adoption (August 13, 2026) | May 30, 2027 | 29,800 | Exercises of vested stock options and sales of shares of the Company’s common stock pursuant to terms of the trading plan |
| Christopher Sullivan, Chief Financial Officer | Trading plan intended to satisfy the affirmative defense conditions of Securities Exchange Act Rule 10b5-1(c) | Termination (September 17, 2026) | (3) | 149,786(2) | Exercises of vested stock options and sales of shares of the Company’s common stock pursuant to terms of the trading plan |
| (1) | Represents the maximum number of shares that may be sold pursuant to the 10b5-1 arrangement. The number of shares sold is dependent on the satisfaction of certain conditions as set forth in the trading plans. |
| (2) | These shares reflect the aggregate maximum of shares underlying vested stock options and RSUs, including 24,200 RSUs that are expected to vest during the term of the trading plan prior to expected share withholding or sell-to-cover to satisfy tax withholding obligations associated with the expected RSU vest. |
| (3) | The arrangement was originally scheduled to remain in effect through May 31, 2027 and was terminated on September 17, 2026, effective immediately. |
Other than as disclosed above, none of our directors or executive officers adopted, modified orterminated any Rule 10b5-1(c) trading arrangements or any non-Rule 10b5-1 trading arrangement (as such terms are defined in Item 408 of Regulation S-K) during the three months ended September 30, 2026.
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