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Filing Details

Accession Number:: 0000902664-24-001290
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-02-08 16:32:33
Reporting Period:: 2024-02-06

Accepted Time:: 2024-02-08 16:32:33
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1999480	Alto Neuroscience Inc.	ANRO	()	DE

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1558858	Alpha Wave Global, Lp	667 Madison Avenue 19Th Floor New York NY 10065	No	No	Yes	No
2007422	Alpha Wave Ventures Gp, Ltd	667 Madison Ave. 19Th Floor New York NY 10065	No	No	Yes	No
2009522	Ltd Rsc Holding Lunate	Unit 1, Floor 12, Al Maryah Tower Abu Dhabi Global Market Square Al Maryah Island, Abu Dhabi C0 00000	No	No	Yes	No
2009884	Chimera Investment Llc	Office 410, Royal Group Hdqrtrs Building Khalifa Park Area Abu Dhabi C0 00000	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2024-02-06	1,962,995	$0.00	1,962,995	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2024-02-06	1,144,762	$0.00	3,107,757	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2024-02-06	600,000	$16.00	3,707,757	No	4	P	Indirect	See footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnotes
No	4	C	Indirect	See footnotes
No	4	P	Indirect	See footnotes

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Convertible Preferred Stock (Series B Preferred)	Disposition	2024-02-06	1,962,995	$0.00	1,962,995	$0.00
Common Stock	Series C Convertible Preferred Stock (Series C Preferred)	Disposition	2024-02-06	1,144,763	$0.00	1,144,763	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
0			No	4	C	Indirect

Footnotes

Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock automatically converted into shares of common stock on a 2.1226069 for 1 basis into the number of shares of common stock shown in column 3 and had no expiration date.
Immediately prior to the closing of the Issuer's initial public offering, each share of Series C Preferred Stock automatically converted into shares of common stock on a 2.2241 for 1 basis into the number of shares of common stock shown in column 3 and had no expiration date.
Securities held by Alpha Wave Ventures II, LP ("Alpha Wave Ventures"). Alpha Wave Ventures GP, Ltd ("Alpha Wave Ventures GP") is the general partner of Alpha Wave Ventures. Alpha Wave Ventures GP is a joint venture between Alpha Wave Global, LP ("Alpha Wave") and Lunate Holding RSC LTD ("Lunate"). Lunate is a subsidiary of Chimera Investment LLC ("Chimera," together with Alpha Wave Ventures GP, Alpha Wave and Lunate, the "Reporting Persons"). Richard Gerson is the Chairman and Chief Investment Officer of Alpha Wave. Chimera is controlled by its board of directors.
For purposes of Section 16 of the Securities Exchange Act of 1934, each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or any other purpose.