Alto Neuroscience, Inc.
For the period ended Sep 30, 2026. Filed Nov 10, 2026.
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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.
Sep 30, 2026 · Filed Nov 10, 2026
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Item 5. Other Information
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 August 14, 2026, Michael C. Hanley, our Chief Operating Officer, adopted a Rule 10b5-1 trading plan for the potential sale of up to 75,000 shares of our common stock. Transactions under Mr. Hanley’s plan were based on pre-established dates and stock price thresholds and would occur only upon the expiration of the applicable mandatory cooling-off period. Mr. Hanley’s plan has a termination date of August 30, 2027, or the date all shares subject to the plan have sold.
On August 31, 2026, Amit Etkin, our Chief Executive Officer, adopted a Rule 10b5-1 trading plan for the potential sale of up to 200,000 shares of our common stock. Transactions under Dr. Etkin’s plan were based on pre-established dates and stock price thresholds and would occur only upon the expiration of the applicable mandatory cooling-off period. Dr. Etkin’s plan has a termination date of August 31, 2027, or the date all shares subject to the plan have sold.
Each of Mr. Hanley’s and Dr. Etkin’s plans is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
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