0000902664-24-001290.txt : 20240208 0000902664-24-001290.hdr.sgml : 20240208 20240208163233 ACCESSION NUMBER: 0000902664-24-001290 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240206 FILED AS OF DATE: 20240208 DATE AS OF CHANGE: 20240208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alpha Wave Global, LP CENTRAL INDEX KEY: 0001558858 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41944 FILM NUMBER: 24609587 BUSINESS ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 BUSINESS PHONE: 2128039080 MAIL ADDRESS: STREET 1: 667 MADISON AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 FORMER NAME: FORMER CONFORMED NAME: Falcon Edge Capital, LP DATE OF NAME CHANGE: 20190513 FORMER NAME: FORMER CONFORMED NAME: Falcon Edge Capital LP DATE OF NAME CHANGE: 20120924 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alpha Wave Ventures GP, Ltd CENTRAL INDEX KEY: 0002007422 ORGANIZATION NAME: STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41944 FILM NUMBER: 24609586 BUSINESS ADDRESS: STREET 1: 667 MADISON AVE. STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 BUSINESS PHONE: 212 803-9080 MAIL ADDRESS: STREET 1: 667 MADISON AVE. STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10065 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chimera Investment LLC CENTRAL INDEX KEY: 0002009884 ORGANIZATION NAME: STATE OF INCORPORATION: C0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41944 FILM NUMBER: 24609584 BUSINESS ADDRESS: STREET 1: OFFICE 410, ROYAL GROUP HDQRTRS BUILDING STREET 2: KHALIFA PARK AREA CITY: ABU DHABI STATE: C0 ZIP: 00000 BUSINESS PHONE: 971.2.885.6666 MAIL ADDRESS: STREET 1: OFFICE 410, ROYAL GROUP HDQRTRS BUILDING STREET 2: KHALIFA PARK AREA CITY: ABU DHABI STATE: C0 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lunate Holding RSC Ltd CENTRAL INDEX KEY: 0002009522 ORGANIZATION NAME: STATE OF INCORPORATION: C0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41944 FILM NUMBER: 24609585 BUSINESS ADDRESS: STREET 1: UNIT 1, FLOOR 12, AL MARYAH TOWER STREET 2: ABU DHABI GLOBAL MARKET SQUARE CITY: AL MARYAH ISLAND, ABU DHABI STATE: C0 ZIP: 00000 BUSINESS PHONE: 971.2.877.8896 MAIL ADDRESS: STREET 1: UNIT 1, FLOOR 12, AL MARYAH TOWER STREET 2: ABU DHABI GLOBAL MARKET SQUARE CITY: AL MARYAH ISLAND, ABU DHABI STATE: C0 ZIP: 00000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alto Neuroscience, Inc. CENTRAL INDEX KEY: 0001999480 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 834210124 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 369 SOUTH SAN ANTONIO RD. CITY: LOS ALTOS STATE: CA ZIP: 94022 BUSINESS PHONE: 773-255-5012 MAIL ADDRESS: STREET 1: 369 SOUTH SAN ANTONIO RD. CITY: LOS ALTOS STATE: CA ZIP: 94022 4 1 ownership.xml X0508 4 2024-02-06 0 0001999480 Alto Neuroscience, Inc. ANRO 0001558858 Alpha Wave Global, LP 667 MADISON AVENUE 19TH FLOOR NEW YORK NY 10065 0 0 1 0 0002007422 Alpha Wave Ventures GP, Ltd 667 MADISON AVE. 19TH FLOOR NEW YORK NY 10065 0 0 1 0 0002009522 Lunate Holding RSC Ltd UNIT 1, FLOOR 12, AL MARYAH TOWER ABU DHABI GLOBAL MARKET SQUARE AL MARYAH ISLAND, ABU DHABI C0 00000 UNITED ARAB EMIRATES 0 0 1 0 0002009884 Chimera Investment LLC OFFICE 410, ROYAL GROUP HDQRTRS BUILDING KHALIFA PARK AREA ABU DHABI C0 00000 UNITED ARAB EMIRATES 0 0 1 0 0 Common Stock 2024-02-06 4 C 0 1962995 A 1962995 I See footnotes Common Stock 2024-02-06 4 C 0 1144762 A 3107757 I See footnotes Common Stock 2024-02-06 4 P 0 600000 16 A 3707757 I See footnotes Series B Convertible Preferred Stock (Series B Preferred) 2024-02-06 4 C 0 1962995 0 D Common Stock 1962995 0 I See footnotes Series C Convertible Preferred Stock (Series C Preferred) 2024-02-06 4 C 0 1144763 0 D Common Stock 1144763 0 I See footnotes 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. 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. 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. 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 2024-02-08 Alpha Wave Ventures GP, Ltd, By: /s/ Richard Gerson, Director 2024-02-08 Lunate Holding RSC LTD, By: /s/ Syed Basar Shueb Syed Shueb, Director and Authorized Signatory 2024-02-08 Chimera Investment LLC, By: /s/ Syed Basar Shueb Syed Shueb, Director and Authorized Signatory 2024-02-08