Notice of Proposed Sale · 144
Alector, Inc.
ALECNASDAQEQUITYCurrent
Notice of Proposed Sale
Structured filing — 144
primary_doc.xml
Notice of proposed sale. The proposed amounts below do not establish that a sale occurred.
Proposed-sale notice
- Issuer
- Alector, Inc.
- Issuer CIK
- 0001653087
- SEC file number
- 001-38792
- Phone
- (415)-231-5660
- Person for whose account securities are to be sold
- Neil L. Berkley
- Relationships to issuer
- Officer
- Street
- 131 Oyster Point Blvd.
- Street (continued)
- Suite 600
- City
- South San Francisco
- State / country code
- CA
- Postal code
- 94080
Securities proposed for sale
| Security | Proposed units | Aggregate market value | Units outstanding | Approximate sale date | Exchange | Broker / market maker |
|---|---|---|---|---|---|---|
| Common Stock | 32,103 | 77,047.20 | 111,692,011 | 09/02/2026 | Nasdaq | Morgan Stanley Smith Barney LLC Executive Financial Services |
Broker / market maker — proposed row 1, entry 1
- Name
- Morgan Stanley Smith Barney LLC Executive Financial Services
- Street
- 1 New York Plaza
- Street (continued)
- 8th Floor
- City
- New York
- State / country code
- NY
- Postal code
- 10004
Acquisition of securities to be sold
| Security | Acquired | Nature of acquisition | Acquired from | Amount acquired | Gift transaction | Payment date | Nature of payment |
|---|---|---|---|---|---|---|---|
| Common Stock | 09/01/2026 | Vesting of Restricted Stock Units | Issuer | 63,095 | N | 09/01/2026 | (1) |
Sales reported in the preceding three months
| Seller | Security | Sale date | Amount sold | Gross proceeds |
|---|---|---|---|---|
| Neil Berkley | Common Stock | 06/02/2026 | 19,360 | 38,221.16 |
Seller — prior-sale row 1, entry 1
- Name
- Neil Berkley
- Street
- C/O Alector, Inc.
- Street (continued)
- 131 Oyster Point Blvd., Suite 600
- City
- South San Francisco
- State / country code
- CA
- Postal code
- 94080
Prior-sale reporting
- Nothing to report for the preceding three months
- N
Remarks
(1) The securities to be sold were received upon the settlement of vested restricted stock units, or RSUs. The reported shares will be sold to satisfy the reporting person's tax obligations in connection with the vesting of RSUs.
Notice signature
- Notice date
- 09/01/2026
- Signed
- /s/ Grace Wong-Sarad, by power of attorney
Company context
Alector is a 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 and Parkinson's disease. The company is also developing Alector Brain Carrier (ABC), a proprietary blood-brain barrier platform, which is being 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 is headquartered in South San Francisco, California. For more information, please visit www.alector.com.