| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| MISSLING CHRISTOPHER U | President and CEO, Director | 630 5TH AVENUE, 20TH FLOOR, NEW YORK | /s/Christopher Missling | 12 Sep 2025 | 0001196573 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AVXL | Common Stock | Options Exercise | $945,000 | +187,500 | +13% | $5.04 | 1,655,213 | 11 Sep 2025 | Direct | |
| transaction | AVXL | Common Stock | Tax liability | $1,389,560 | -145,048 | -8.8% | $9.58 | 1,510,165 | 11 Sep 2025 | Direct | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AVXL | Stock Option (Right to Buy) | Options Exercise | $0 | -187,500 | -100% | $0.000000 | 0 | 11 Sep 2025 | Common Stock | 187,500 | $5.04 | Direct |
| Id | Content |
|---|---|
| F1 | Represents a "net exercise" of outstanding stock options, which options were scheduled to expire on September 18, 2025. The reporting person received 42,452 shares of common stock on net exercise of an option to purchase 187,500 shares of common stock. The Company withheld 145,048 shares of common stock underlying the option as consideration for the exercise price and tax withholdings, using the closing price on September 11, 2025 of $9.58, pursuant to the terms of the Company's 2015 Stock Option Plan. |