Form 4 for ANRO Alto Neuroscience, Inc.

Accepted 2024-02-07 00:00:00 ET · period of report 2024-02-06 · accession 0001415889-24-002938 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
DMI	2024-02-07	2024-02-06	ANRO	Cox Christopher Nixon	Dir	C - Cnv Deriv	—	+715.7K	588.9K	New	—
DMI	2024-02-07	2024-02-06	ANRO	Cox Christopher Nixon	Dir	C - Cnv Deriv	$0.00	-1.53M	0	-100%	$0

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2024-02-06	C	A	126,755	—	715,653	I By Lightswitch Capital Fund I, L.P.	—	—	(F3) Each share of Series C Preferred Stock was convertible at any time, at the holder's election, and automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.2241 for 1 basis and has no expiration date. (F2) The shares are directly held by Lightswitch Capital Fund I, L.P. ("Lightswitch Capital"), of which Lightswitch Capital GP, LLC ("Lightswitch GP") is the sole general partner and exercises voting and investment power over these shares. The Reporting Person is the Chief Executive Officer of Lightswitch GP and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
2	Common	Common Stock	2024-02-06	C	A	588,898	—	588,898	I By Lightswitch Capital Fund I, L.P.	—	—	(F1) Each share of Series B Preferred Stock was convertible at any time, at the holder's election, and automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.1226069 for 1 basis and had no expiration date. (F2) The shares are directly held by Lightswitch Capital Fund I, L.P. ("Lightswitch Capital"), of which Lightswitch Capital GP, LLC ("Lightswitch GP") is the sole general partner and exercises voting and investment power over these shares. The Reporting Person is the Chief Executive Officer of Lightswitch GP and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
3	Derivative	Series C Preferred Stock	2024-02-06	C	D	281,917	$0.00	0	I By Lightswitch Capital Fund I, L.P.	— · — to —	126,755 Common Stock	(F2) The shares are directly held by Lightswitch Capital Fund I, L.P. ("Lightswitch Capital"), of which Lightswitch Capital GP, LLC ("Lightswitch GP") is the sole general partner and exercises voting and investment power over these shares. The Reporting Person is the Chief Executive Officer of Lightswitch GP and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. (F3) Each share of Series C Preferred Stock was convertible at any time, at the holder's election, and automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.2241 for 1 basis and has no expiration date.
4	Derivative	Series B Preferred Stock	2024-02-06	C	D	1,250,000	$0.00	0	I By Lightswitch Capital Fund I, L.P.	— · — to —	588,898 Common Stock	(F2) The shares are directly held by Lightswitch Capital Fund I, L.P. ("Lightswitch Capital"), of which Lightswitch Capital GP, LLC ("Lightswitch GP") is the sole general partner and exercises voting and investment power over these shares. The Reporting Person is the Chief Executive Officer of Lightswitch GP and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. (F1) Each share of Series B Preferred Stock was convertible at any time, at the holder's election, and automatically converted into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.1226069 for 1 basis and had no expiration date.