| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Thomas Steffen | Director | 630 5TH AVENUE 20TH FLOOR, NEW YORK | /s/Steffen Thomas | 09 Jun 2025 | 0001646396 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AVXL | Common stock | Options Exercise | $88,000 | +50,000 | +1,000% | $1.76 | 55,000 | 05 Jun 2025 | Direct | |
| transaction | AVXL | Common stock | Tax liability | -$87,954 | -11,349 | -21% | $7.75 | 43,651 | 05 Jun 2025 | Direct | F1 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | AVXL | Stock Option (Right to Buy) | Options Exercise | $0 | -50,000 | -100% | $0 | 0 | 05 Jun 2025 | Common Stock | 50,000 | $1.76 | Direct | F2 |
| Id | Content |
|---|---|
| F1 | Represents a "net exercise" of outstanding stock options, which options were scheduled to expire on June 15, 2025. The reporting person received 38,651 shares of common stock on net exercise of an option to purchase 50,000 shares of common stock. The Company withheld 11,349 shares of common stock underlying the option as consideration for the exercise price, using the average of the high and low sales price on June 5, 2025 of $7.75, pursuant to the terms of the Company's 2007 Stock Option Plan. |
| F2 | The options vested in three equal annual installments beginning on June 15, 2016 |