AVXL

SEC source: 0001731122-26-001296 · ownership.xml · derivative · entry 4

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-03-31

F1 · balance_after: As described in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on September 28, 2026, the election of the Issuer's board of directors at the Issuer's 2026 Annual Meeting of Stockholders on September 24, 2026 constituted a "change in control" under the Issuer's incentive plans and Ms. Boenisch's employment agreement and all outstanding and unvested awards previously granted to Ms. Boenisch became immediately vested and exercisable in accordance with the terms of the applicable incentive plan and award agreement under which they were granted, including the following awards which had not been previously reported due to their performance-based vesting terms: 20,000 options at an exercise price of $10.09 granted June 27, 2022, 25,000 options at an exercise price of $8.57 granted March 31, 2023, 25,000 options at an exercise price of $5.36 granted February 20, 2024 and 25,000 options at an exercise price of $8.58 granted March 31, 2025.

SEC source: 0001731122-26-001296 · ownership.xml · derivative · entry 3

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2034-02-20

F1 · balance_after: As described in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on September 28, 2026, the election of the Issuer's board of directors at the Issuer's 2026 Annual Meeting of Stockholders on September 24, 2026 constituted a "change in control" under the Issuer's incentive plans and Ms. Boenisch's employment agreement and all outstanding and unvested awards previously granted to Ms. Boenisch became immediately vested and exercisable in accordance with the terms of the applicable incentive plan and award agreement under which they were granted, including the following awards which had not been previously reported due to their performance-based vesting terms: 20,000 options at an exercise price of $10.09 granted June 27, 2022, 25,000 options at an exercise price of $8.57 granted March 31, 2023, 25,000 options at an exercise price of $5.36 granted February 20, 2024 and 25,000 options at an exercise price of $8.58 granted March 31, 2025.

SEC source: 0001731122-26-001296 · ownership.xml · derivative · entry 2

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-03-31

F1 · balance_after: As described in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on September 28, 2026, the election of the Issuer's board of directors at the Issuer's 2026 Annual Meeting of Stockholders on September 24, 2026 constituted a "change in control" under the Issuer's incentive plans and Ms. Boenisch's employment agreement and all outstanding and unvested awards previously granted to Ms. Boenisch became immediately vested and exercisable in accordance with the terms of the applicable incentive plan and award agreement under which they were granted, including the following awards which had not been previously reported due to their performance-based vesting terms: 20,000 options at an exercise price of $10.09 granted June 27, 2022, 25,000 options at an exercise price of $8.57 granted March 31, 2023, 25,000 options at an exercise price of $5.36 granted February 20, 2024 and 25,000 options at an exercise price of $8.58 granted March 31, 2025.

SEC source: 0001731122-26-001296 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-27

F1 · balance_after: As described in the Issuer's Current Report on Form 8-K filed with the Securities and Exchange Commission on September 28, 2026, the election of the Issuer's board of directors at the Issuer's 2026 Annual Meeting of Stockholders on September 24, 2026 constituted a "change in control" under the Issuer's incentive plans and Ms. Boenisch's employment agreement and all outstanding and unvested awards previously granted to Ms. Boenisch became immediately vested and exercisable in accordance with the terms of the applicable incentive plan and award agreement under which they were granted, including the following awards which had not been previously reported due to their performance-based vesting terms: 20,000 options at an exercise price of $10.09 granted June 27, 2022, 25,000 options at an exercise price of $8.57 granted March 31, 2023, 25,000 options at an exercise price of $5.36 granted February 20, 2024 and 25,000 options at an exercise price of $8.58 granted March 31, 2025.

SEC source: 0001731122-26-000036 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-03-31

F1 · shares: On March 31, 2025, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was a Second Regulatory dialogue for blarcamesine. The performance criteria for this milestone was met, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-26-000035 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2035-03-31

F1 · shares: On March 31, 2025, the reporting person was granted an option to purchase 50,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was a second regulatory dialogue for blarcamesine. The performance criteria for this milestone was met, resulting in vesting of the option as to 12,500 shares.

SEC source: 0001731122-25-001354 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 125,000 shares

Expires 2034-02-20

F1 · shares: On February 20, 2024, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was Readout of AV3-71-SZ-001 schizophrenia study. The performance criteria for this milestone was met, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-25-001355 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 12,500 shares

Expires 2034-02-20

F1 · shares: On February 20, 2024, the reporting person was granted an option to purchase 50,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was Readout of AV3-71-SZ-001 schizophrenia study. The performance criteria for this milestone was met, resulting in vesting of the option as to 12,500 shares.

SEC source: 0001731122-25-001246 · ownership.xml · derivative · entry 3

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 187,500 shares

Expires 2025-09-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-25-001246 · ownership.xml · nonDerivative · entry 2

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,510,165

F1 · shares: Represents a "net exercise" of outstanding stock options, which options were scheduled to expire on September 18, 2025. The reporting person received 42,452 shares of common stock on net exercise of an option to purchase 187,500 shares of common stock. The Company withheld 145,048 shares of common stock underlying the option as consideration for the exercise price and tax withholdings, using the closing price on September 11, 2025 of $9.58, pursuant to the terms of the Company's 2015 Stock Option Plan.

SEC source: 0001731122-25-001246 · ownership.xml · nonDerivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,655,213

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-25-001167 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-03-31

F1 · shares: On March 31, 2025, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was Publication of preclinical blarcamesine prevention AD data. The performance criteria for this milestone was met, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-25-001168 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2035-03-31

F1 · shares: On March 31, 2025, the reporting person was granted an option to purchase 50,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was Publication of preclinical blarcamesine prevention AD data. The performance criteria for this milestone was met, resulting in vesting of the option as to 12,500 shares.

SEC source: 0001731122-25-000837 · ownership.xml · derivative · entry 3

Thomas Steffen · CIK 0001646396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2025-06-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options vested in three equal annual installments beginning on June 15, 2016

SEC source: 0001731122-25-000837 · ownership.xml · nonDerivative · entry 2

Thomas Steffen · CIK 0001646396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,651

F1 · shares: 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.

SEC source: 0001731122-25-000837 · ownership.xml · nonDerivative · entry 1

Thomas Steffen · CIK 0001646396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-25-000654 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2033-03-31

F1 · shares: On March 31, 2023, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was completion of enrollment of ANAVEX3-71 Phase 2 clinical trial in Schizophrenia. The performance criteria for this milestone was met, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-25-000655 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-03-31

F1 · shares: On March 31, 2023, the reporting person was granted an option to purchase 50,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was completion of enrollment of ANAVEX3-71 Phase 2 clinical trial in Schizophrenia. The performance criteria for this milestone was met, resulting in vesting of the option as to 12,500 shares.

SEC source: 0001731122-25-000517 · ownership.xml · derivative · entry 1

Ma Jiong · CIK 0001854872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-03-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 31, 2026

SEC source: 0001731122-25-000518 · ownership.xml · derivative · entry 1

Donhauser Peter D.O. · CIK 0001698234 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-03-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 31, 2026

SEC source: 0001731122-25-000516 · ownership.xml · derivative · entry 1

Skarpelos Athanasios · CIK 0001360570 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-03-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 31, 2026

SEC source: 0001731122-25-000515 · ownership.xml · derivative · entry 1

Thomas Steffen · CIK 0001646396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-03-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 31, 2026

SEC source: 0001731122-25-000514 · ownership.xml · derivative · entry 1

Velden Claus Vander · CIK 0001733908 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-03-31

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 31, 2026

SEC source: 0001731122-25-000452 · ownership.xml · derivative · entry 3

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2025-04-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-25-000452 · ownership.xml · nonDerivative · entry 2

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,467,713

F1 · shares: Represents a "net exercise" of outstanding stock options, which options were scheduled to expire on April 2, 2025. The reporting person received 217,503 shares of common stock on net exercise of an option to purchase 500,000 shares of common stock. The Company withheld 282,497 shares of common stock underlying the option as consideration for the exercise price and tax withholdings, using the average of the high and low sales price on March 24, 2025 of $9.63, pursuant to the terms of the Company's 2007 Stock Option Plan.

SEC source: 0001731122-25-000452 · ownership.xml · nonDerivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,750,210

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-25-000096 · ownership.xml · derivative · entry 2

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-06-14

F2 · shares: On March 31, 2023, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was Publication of AD-004 Alzheimer's disease study. The performance criteria for this milestone was met, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-25-000096 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,000

Underlying: Common Stock · 166,000 shares

Expires 2032-06-14

F1 · shares: On June 14, 2022, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in three equal tranches based on performance milestones, one of which was completion of Phase 2b/3 study for Alzheimer's disease. The performance criteria for this milestone was met with the final publication of all clinical trial data, resulting in vesting of the option as to 166,000 shares.

SEC source: 0001731122-25-000095 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-03-31

F1 · shares: On March 31, 2023, the reporting person was granted an option to purchase 50,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was Publication of AD-004 Alzheimer's disease study. The performance criteria for this milestone was met, resulting in vesting of the option as to 12,500 shares.

SEC source: 0001731122-24-002044 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-02-20

F1 · shares: On February 20, 2024, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was regulatory submission of AD-004 for Alzheimer's disease (US or EU). The performance criteria for this milestone was met with the acceptance of the MAA filing by the EMA, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-24-002045 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-02-20

F1 · shares: On February 20, 2024, the reporting person was granted an option to purchase 50,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which was regulatory submission of AD-004 for Alzheimer's disease (US or EU). The performance criteria for this milestone was met with the acceptance of the MAA filing by the EMA, resulting in vesting of the option as to 12,500 shares.

SEC source: 0001731122-24-001953 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 125,000 shares

Expires 2032-06-27

F1 · shares: On June 27, 2022, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which included completion of the Clinical Study Report for Phase 2a/b AD-004 Alzheimer's disease study. The performance criteria for this milestone was met in connection with the Marketing Authorization Application filing, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-24-001952 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 10,000 shares

Expires 2032-06-27

F1 · shares: On June 27, 2022, the reporting person was granted an option to purchase 40,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which included completion of the Clinical Study Report for Phase 2a/b AD-004 Alzheimer's disease study. The performance criteria for this milestone was met in connection with the Marketing Authorization Application filing, resulting in vesting of the option as to 10,000 shares.

SEC source: 0001731122-24-000957 · ownership.xml · nonDerivative · entry 1

Donhauser Peter D.O. · CIK 0001698234 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

F1 · price: Purchase price denominated in Euros has been translated to US dollars using an exchange rate of 0.936

SEC source: 0001731122-24-000828 · ownership.xml · nonDerivative · entry 1

Thomas Steffen · CIK 0001646396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

F1 · price: Purchase price denominated in Euros has been translated to US dollars using an exchange rate of 0.92

SEC source: 0001731122-24-000552 · ownership.xml · derivative · entry 3

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 73,380 shares

Expires 2024-05-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-24-000552 · ownership.xml · nonDerivative · entry 2

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250,210

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.03 to $5.195, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001731122-24-000552 · ownership.xml · nonDerivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,323,590

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-24-000294 · ownership.xml · derivative · entry 1

Ma Jiong · CIK 0001854872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-02-20

F1 · derivative.exercise_date: Options vest in equal installments over three years from the grant date.

SEC source: 0001731122-24-000297 · ownership.xml · derivative · entry 1

Donhauser Peter D.O. · CIK 0001698234 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-02-20

F1 · derivative.exercise_date: Options vest in equal installments over three years from the grant date.

SEC source: 0001731122-24-000295 · ownership.xml · derivative · entry 1

Thomas Steffen · CIK 0001646396 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-02-20

F1 · derivative.exercise_date: Options vest in equal installments over three years from the grant date.

SEC source: 0001731122-24-000296 · ownership.xml · derivative · entry 1

Velden Claus Vander · CIK 0001733908 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-02-20

F1 · derivative.exercise_date: Options vest in equal installments over three years from the grant date.

SEC source: 0001731122-24-000293 · ownership.xml · derivative · entry 1

Skarpelos Athanasios · CIK 0001360570 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-02-20

F1 · derivative.exercise_date: Options vest in equal installments over three years from the grant date.

SEC source: 0001731122-24-000070 · ownership.xml · derivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-06-27

F1 · balance_after: On June 27, 2022, the reporting person was granted an option to purchase 500,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which included topline data readout of ANAVEX2-73-RS-003 EXCELLENCE clinical trial in Rett Syndrome. The performance criteria for this milestone was met, resulting in vesting of the option as to 125,000 shares.

SEC source: 0001731122-24-000069 · ownership.xml · derivative · entry 1

Boenisch Sandra · CIK 0001655366 · PFO & Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2032-06-27

F1 · balance_after: On June 27, 2022, the reporting person was granted an option to purchase 40,000 shares of common stock. The option vests in four equal tranches based on four performance milestones, one of which included topline data readout of ANAVEX2-73-RS-003 EXCELLENCE clinical trial in Rett Syndrome. The performance criteria for this milestone was met, resulting in vesting of the option as to 10,000 shares.

SEC source: 0001731122-23-001246 · ownership.xml · derivative · entry 5

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 232,000 shares

Expires 2023-07-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-23-001246 · ownership.xml · nonDerivative · entry 3

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250,210

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-23-001246 · ownership.xml · derivative · entry 4

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,000

Underlying: Common Stock · 268,000 shares

Expires 2023-07-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001731122-23-001246 · ownership.xml · nonDerivative · entry 2

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,018,210

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.95 to $8.09, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001731122-23-001246 · ownership.xml · nonDerivative · entry 1

MISSLING CHRISTOPHER U · CIK 0001196573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,286,210

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.