# EDGAR Filing Document

**Accession Number:** 0001999480
**File Stem:** 0001999480-25-000062
**Filing Date:** 2025-7
**Character Count:** 9732
**Document Hash:** e6e40e18c195b936570a575cb01f8523
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001999480-25-000062.hdr.sgml**: 20250708

**ACCESSION NUMBER**: 0001999480-25-000062

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250703

**FILED AS OF DATE**: 20250708

**DATE AS OF CHANGE**: 20250708

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Smith Nicholas Conrad
- **CENTRAL INDEX KEY:** 0002009130

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41944
- **FILM NUMBER:** 251111738

**MAIL ADDRESS:**
- **STREET 1:** C/O ALTO NEUROSCIENCE, INC.
- **STREET 2:** 650 CASTRO STREET, SUITE 450
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Alto Neuroscience, Inc.
- **CENTRAL INDEX KEY:** 0001999480
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 834210124
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 650 CASTRO STREET, SUITE 450
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041
- **BUSINESS PHONE:** 773-255-5012

**MAIL ADDRESS:**
- **STREET 1:** 650 CASTRO STREET, SUITE 450
- **CITY:** MOUNTAIN VIEW
- **STATE:** CA
- **ZIP:** 94041

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Smith Nicholas Conrad<br><sub>(Last) (First) (Middle)</sub><br>C/O ALTO NEUROSCIENCE, INC.<br>650 CASTRO STREET, SUITE 450<br><sub>(Street)</sub><br>MOUNTAIN VIEW, CA 94041<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-07-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CHIEF FINANCIAL OFFICER  & CBO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Alto Neuroscience, Inc. [ ANRO ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (Right to Buy) | $2.35 | 2025-07-03 |  | A |  | 44962 |  | <sup>(1)</sup> | 2032-09-21 | Common Stock | 44962 | <sup>(2)(3)</sup> | 44962 | D |  |
| Employee Stock Option (Right to Buy) | $6.23 | 2025-07-03 |  | D |  |  | 44962 | <sup>(1)</sup> | 2032-09-21 | Common Stock | 44962 | <sup>(2)(3)</sup> | 0 | D |  |
| Employee Stock Option (Right to Buy) | $2.35 | 2025-07-03 |  | A |  | 33833 |  | <sup>(4)</sup> | 2033-04-13 | Common Stock | 33833 | <sup>(2)(3)</sup> | 33833 | D |  |
| Employee Stock Option (Right to Buy) | $6.23 | 2025-07-03 |  | D |  |  | 33833 | <sup>(4)</sup> | 2033-04-13 | Common Stock | 33833 | <sup>(2)(3)</sup> | 0 | D |  |
| Employee Stock Option (Right to Buy) | $2.35 | 2025-07-03 |  | A |  | 202329 |  | <sup>(5)</sup> | 2033-12-19 | Common Stock | 202329 | <sup>(2)(3)</sup> | 202329 | D |  |
| Employee Stock Option (Right to Buy) | $5.30 | 2025-07-03 |  | D |  |  | 202329 | <sup>(5)</sup> | 2033-12-19 | Common Stock | 202329 | <sup>(2)(3)</sup> | 0 | D |  |
| Employee Stock Option (Right to Buy) | $2.35 | 2025-07-03 |  | A |  | 90000 |  | <sup>(6)</sup> | 2034-02-28 | Common Stock | 90000 | <sup>(2)(3)</sup> | 90000 | D |  |
| Employee Stock Option (Right to Buy) | $14.88 | 2025-07-03 |  | D |  |  | 90000 | <sup>(6)</sup> | 2034-02-28 | Common Stock | 90000 | <sup>(2)(3)</sup> | 0 | D |  |
| Employee Stock Option (Right to Buy) | $2.35 | 2025-07-03 |  | A |  | 135000 |  | <sup>(7)</sup> | 2035-02-04 | Common Stock | 135000 | <sup>(2)(3)</sup> | 135000 | D |  |
| Employee Stock Option (Right to Buy) | $4.20 | 2025-07-03 |  | D |  |  | 135000 | <sup>(7)</sup> | 2035-02-04 | Common Stock | 135000 | <sup>(2)(3)</sup> | 0 | D |  |

---

### Footnotes:

(1) One forty-eighth (1/48th) of the shares underlying the option vested or shall vest on a monthly basis commencing on the one-month anniversary of September 21, 2022, subject to the Reporting Person's continuous service through such vesting date.

(2) The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on July 3, 2025 (the "Repricing Date"). The Option Repricing applies to options with exercise prices greater than $2.35 per share held by continuing employees of the Issuer as of the Repricing Date.

(3) Pursuant to the Option Repricing, the exercise price of the repriced options has been amended to reduce the exercise price to $2.35 per share, the closing price of the Issuer's common stock on the Repricing Date. However, if an employee exercises a repriced option before the end of a retention period of one year (subject to earlier termination in certain circumstances), such employee will be required to pay the original exercise price per share of such repriced option. There is no change to the vesting schedules, expiration dates of, or number of shares underlying the repriced options.

(4) 25% of the shares underlying the option vested on January 1, 2024, and one forty-eighth (1/48th) of the shares underlying the option vested or shall vest in monthly installments thereafter, subject to the Reporting Person's continuous service through each such vesting date.

(5) One-third (1/3rd) of the shares underlying the option vested upon the completion of the Issuer's initial public offering and two-thirds (2/3) of the shares underlying the option vested or shall vest over a period of four years. 25% of the shares underlying the time-based portion vested on December 20, 2024, and 1/48 of the shares underlying the time-based portion vested or shall vest on a monthly basis thereafter, subject to the Reporting Person's continuous service through such vesting date.

(6) 25% of the shares underlying the option vested on March 1, 2025, and one forty-eighth (1/48th) of the shares underlying the option vested or shall vest in monthly installments thereafter, subject to the Reporting Person's continuous service through each such vesting date.

(7) 25% of the shares underlying the option shall vest on February 5, 2026, and one forty-eighth (1/48th) of the shares underlying the option shall vest in monthly installments thereafter, subject to the Reporting Person's continuous service through each such vesting date.

**Signature:** /s/ Erin R. McQuade, Attorney-in-Fact  
**Date:** 2025-07-08

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**