# EDGAR Filing Document

**Accession Number:** 0001653087
**File Stem:** 0001193125-25-317554
**Filing Date:** 2025-12
**Character Count:** 9326
**Document Hash:** 17816da303b7c34d1827c39beab69748
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-25-317554.hdr.sgml**: 20251212

**ACCESSION NUMBER**: 0001193125-25-317554

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 11

**CONFORMED PERIOD OF REPORT**: 20251210

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20251212

**DATE AS OF CHANGE**: 20251212

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Alector, Inc.
- **CENTRAL INDEX KEY:** 0001653087
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 822933343
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38792
- **FILM NUMBER:** 251568208

**BUSINESS ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BLVD., SUITE 600
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** 415-231-5660

**MAIL ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BLVD., SUITE 600
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Alector LLC
- **DATE OF NAME CHANGE:** 20150915

?xml version='1.0' encoding='ASCII'? 8-K

**UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549**

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## FORM 8-K

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**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported):** December 10, 2025<br>

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Alector, Inc.

**(Exact name of Registrant as Specified in Its Charter)**

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| | | |
|:---|:---|:---|
| Delaware | 001-38792 | 82-2933343 |
| **(State or Other Jurisdiction<br>of Incorporation)** | **(Commission File Number)** | **(IRS Employer<br>Identification No.)** |
| 131 Oyster Point Blvd.<br>Suite 600 |  |  |
| South San Francisco**,** California |  | 94080 |
| **(Address of Principal Executive Offices)** |  | **(Zip Code)** |

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**Registrant's Telephone Number, Including Area Code:** (415) 231-5660<br>

**(Former Name or Former Address, if Changed Since Last Report)**

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

**Securities registered pursuant to Section 12(b) of the Act:**

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| | | |
|:---|:---|:---|
| **<br>Title of each class** | **Trading<br>Symbol(s)** | **<br>Name of each exchange on which registered** |
| Common Stock | ALEC | The Nasdaq Stock Market LLC |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company ☐

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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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## Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On December 10, 2025, the board of directors of Alector, Inc. ("Alector") appointed Neil Berkley as Alector's Chief Financial Officer. Mr. Berkley had been serving as Interim Chief Financial Officer of Alector since June 2025. Mr. Berkley will continue serving as Chief Business Officer and as the principal financial officer of Alector.

There are no changes to Mr. Berkley's existing compensatory arrangements as a result of his appointment as Chief Financial Officer.

Reference is hereby made to the Current Report on Form 8-K filed by Alector on June 13, 2025 for the biographical and other information under Items 401 and 404 of Regulation S-K.

On December 12, 2025, Alector issued a press release announcing the appointment of Mr. Berkley as its Chief Financial Officer. The press release is attached hereto as Exhibit 99.1. The information included in the press release in Exhibit 99.1 shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act of 1934, as amended.

## Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.

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| | |
|:---|:---|
| Exhibit<br>No. | Description |
| 99.1 | [<u>Press Release, dated December 12, 2025</u>](alec-ex99_1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the inline XBRL document). |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | | |
|:---|:---|:---|:---|
|  |  |  | **ALECTOR, INC.** |
| Date: | December 12, 2025 | By:  | /s/ Arnon Rosenthal |
|  |  |  | Arnon Rosenthal, Ph.D.<br>Co-founder and Chief Executive Officer |

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## Exhibit 99.1

Exhibit 99.1

**Alector Appoints Neil Berkley as Chief Financial Officer and Chief Business Officer**

**SOUTH SAN FRANCISCO, Calif., December 12, 2025** -- Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company focused on developing therapies to counteract the devastating progression of neurodegeneration, today announced that Neil Berkley, who has served as Alector's Chief Business Officer (CBO) since March 2024, and CBO and Interim Chief Financial Officer (CFO) since June 2025, has been appointed CFO, effective December 10, 2025. Mr. Berkley will continue to serve as CBO.

"Neil has demonstrated exceptional leadership, judgment, strategic insight, and an unwavering commitment to Alector's mission," said Arnon Rosenthal, Ph.D., Chief Executive Officer of Alector. "His deep understanding of our science and business drivers—combined with his operational and financial acumen—makes him uniquely suited to assume the CFO role as we advance through an important period for the company."

Mr. Berkley is an accomplished biotech executive with more than two decades of experience leading corporate strategy, finance, business development, and operations across both early- and late-stage companies. He brings broad experience across large pharmaceutical, midsize biotechnology, and emerging biotech companies, and has supported a wide range of strategic and transactional partnerships throughout his career. Since joining Alector in 2024, he has played a key role in advancing the company's strategic priorities, strengthening partnerships, and supporting key value-creation initiatives across the organization. He also brings experience in financing and fundraising, investor engagement, and corporate development, along with a background that includes founding two companies and serving on the boards of multiple biotech organizations.

"I'm honored to serve Alector in this capacity," said Berkley. "It is a privilege to work with such a talented team dedicated to advancing transformative therapies to patients with neurodegenerative diseases. I look forward to continuing to support the company's scientific and corporate priorities, including the advancement of our promising pipeline and the ongoing development of our ABC-enabled programs."

**About Alector**<br>Alector is a clinical-stage biotechnology company focused on developing therapies to counteract the devastating progression of neurodegenerative diseases. Leveraging the principles of genetics, immunology, and neuroscience, the company is advancing a portfolio of programs that aim to remove toxic proteins, replace missing proteins, and restore immune and nerve cell function. Supported by biomarkers, Alector's product candidates seek to treat a range of indications, such as Alzheimer's disease, Parkinson's disease, and frontotemporal dementia. The company is also developing Alector Brain Carrier (ABC), a proprietary blood-brain barrier platform, which is being selectively applied to its preclinical and research pipeline. ABC aims to enhance the delivery of therapeutics, achieve deeper brain penetration and efficacy at lower doses, and ultimately improve patient outcomes while reducing costs. Alector

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Exhibit 99.1

is headquartered in South San Francisco, California. For more information, please visit www.alector.com.

**Alector Contacts:**

Argot Partners (media)<br>David Rosen<br> (212) 600-1494<br> alector@argotpartners.com

Argot Partners (investors)<br> Laura Perry<br> (212) 600-1902<br> alector@argotpartners.com

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