SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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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1. Name and Address of Reporting Person*
York Gwill

(Last) (First) (Middle)
C/O ALTO NEUROSCIENCE, INC.
369 SOUTH SAN ANTONIO ROAD

(Street)
LOS ALTOS CA 94022

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/01/2024
3. Issuer Name and Ticker or Trading Symbol
Alto Neuroscience, Inc. [ ANRO ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (1) (1) Common Stock 23,917 (1) D
Stock Option (Right to Buy) (2) 09/08/2031 Common Stock 33,721 $2.32 D
Stock Option (Right to Buy) (3) 10/11/2033 Common Stock 11,240 $6.23 D
Explanation of Responses:
1. Each share of Series A Preferred Stock is convertible at any time, at the holder's election, and will automatically convert into shares of Common Stock immediately prior to the closing of the Issuer's initial public offering on a 2.2241 for 1 basis into the number of shares of Common Stock shown in column 3 and has no expiration date.
2. One thirty-sixth (1/36th) of the shares underlying the option vested or shall vest on a monthly basis commencing on the one-month anniversary of August 10, 2021, subject to the Reporting Person's continuous service through such vesting date.
3. 100% of the shares underlying the option shall vest on October 12, 2024, subject to the Reporting Person's continuous service through such vesting date.
/s/ Erin R. McQuade, Attorney-in-Fact 02/01/2024
** Signature of Reporting Person Date
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 5 (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.
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