Alkeon Capital Management Llc - Feb 1, 2024 Form 3 Insider Report for Alto Neuroscience, Inc. (ANRO)

Role
Director, Other*
Signature
/s/ Alkeon Capital Management, LLC, by Jennifer Shufro, Managing Director
Stock symbol
ANRO
Transactions as of
Feb 1, 2024
Transactions value $
$0
Form type
3
Date filed
2/1/2024, 06:47 PM

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ANRO Series B Preferred Stock Feb 1, 2024 Common Stock 393K Direct F1, F2
holding ANRO Series C Preferred Stock Feb 1, 2024 Common Stock 84.5K Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each share of Series B Preferred Stock is convertible at any time, at the holder's election, and will automatically convert into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.1226069 for 1 basis into the number of shares of Common Stock shown in column 3 and has no expiration date.
F2 Shares held by IJS Global Holdings, Ltd. ("IJS"). The Reporting Person is the investment adviser of IJS, and the Reporting Person disclaims any beneficial ownership of any and all of the Issuer's securities reported herein in excess of its actual pecuniary interest.
F3 Each share of Series C Preferred Stock is convertible at any time, at the holder's election, and will automatically convert into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.2241 for 1 basis into the number of shares of Common Stock shown in column 3 and has no expiration date.

Remarks:

The Reporting Person may be deemed to be a director by deputization for purposes of Section 16 under the Securities Exchange Act of 1934 by virtue of the fact that Po Yu (Jeff) Chen, an employee of the Reporting Person, currently serves on the board of directors of the Issuer.