SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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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*
Alpha Wave Global, LP

(Last) (First) (Middle)
667 MADISON AVENUE
19TH FLOOR

(Street)
NEW YORK NY 10065

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Alto Neuroscience, Inc. [ ANRO ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
02/06/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/06/2024 C 1,962,995 A (1) 1,962,995 I See footnotes(3)(4)
Common Stock 02/06/2024 C 1,144,762 A (2) 3,107,757 I See footnotes(3)(4)
Common Stock 02/06/2024 P 600,000 A $16 3,707,757 I See footnotes(3)(4)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series B Convertible Preferred Stock (Series B Preferred) (1) 02/06/2024 C 1,962,995 (1) (1) Common Stock 1,962,995 $0 0 I See footnotes(3)(4)
Series C Convertible Preferred Stock (Series C Preferred) (2) 02/06/2024 C 1,144,763 (2) (2) Common Stock 1,144,763 $0 0 I See footnotes(3)(4)
1. Name and Address of Reporting Person*
Alpha Wave Global, LP

(Last) (First) (Middle)
667 MADISON AVENUE
19TH FLOOR

(Street)
NEW YORK NY 10065

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Alpha Wave Ventures GP, Ltd

(Last) (First) (Middle)
667 MADISON AVE.
19TH FLOOR

(Street)
NEW YORK NY 10065

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Lunate Holding RSC Ltd

(Last) (First) (Middle)
UNIT 1, FLOOR 12, AL MARYAH TOWER
ABU DHABI GLOBAL MARKET SQUARE

(Street)
AL MARYAH ISLAND, ABU DHABI C0 00000

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Chimera Investment LLC

(Last) (First) (Middle)
OFFICE 410, ROYAL GROUP HDQRTRS BUILDING
KHALIFA PARK AREA

(Street)
ABU DHABI C0 00000

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock automatically converted into shares of common stock on a 2.1226069 for 1 basis into the number of shares of common stock shown in column 3 and had no expiration date.
2. Immediately prior to the closing of the Issuer's initial public offering, each share of Series C Preferred Stock automatically converted into shares of common stock on a 2.2241 for 1 basis into the number of shares of common stock shown in column 3 and had no expiration date.
3. Securities held by Alpha Wave Ventures II, LP ("Alpha Wave Ventures"). Alpha Wave Ventures GP, Ltd ("Alpha Wave Ventures GP") is the general partner of Alpha Wave Ventures. Alpha Wave Ventures GP is a joint venture between Alpha Wave Global, LP ("Alpha Wave") and Lunate Holding RSC LTD ("Lunate"). Lunate is a subsidiary of Chimera Investment LLC ("Chimera," together with Alpha Wave Ventures GP, Alpha Wave and Lunate, the "Reporting Persons"). Richard Gerson is the Chairman and Chief Investment Officer of Alpha Wave. Chimera is controlled by its board of directors.
4. For purposes of Section 16 of the Securities Exchange Act of 1934, each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 or any other purpose.
Alpha Wave Global, LP, By: /s/ Richard Gerson, Chairman and CIO 02/08/2024
Alpha Wave Ventures GP, Ltd, By: /s/ Richard Gerson, Director 02/08/2024
Lunate Holding RSC LTD, By: /s/ Syed Basar Shueb Syed Shueb, Director and Authorized Signatory 02/08/2024
Chimera Investment LLC, By: /s/ Syed Basar Shueb Syed Shueb, Director and Authorized Signatory 02/08/2024
** Signature of Reporting Person Date
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