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Avalo Therapeutics (AVTX) director exercises 3,166 RSUs, holds 6,333 shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Avalo Therapeutics director Aaron Kantoff exercised restricted stock units into common shares. On March 28, 2026, 3,166 restricted stock units converted into 3,166 shares of common stock at a stated price of $0.00 per share.

After the transaction, Kantoff directly held 6,333 shares of common stock. The restricted stock units were part of a 9,500-unit grant awarded on August 13, 2024, scheduled to vest in three equal installments on March 28, 2025, March 28, 2026, and March 28, 2027, contingent on continued service. No open-market buy or sell was reported in this filing; it reflects a derivative exercise tied to equity compensation.

Positive

  • None.

Negative

  • None.
Insider KANTOFF AARON
Role Director
Type Security Shares Price Value
Exercise Restricted Stock Units 3,166 $0.00 --
Exercise Common Stock 3,166 $0.00 --
Holdings After Transaction: Restricted Stock Units — 3,167 shares (Direct); Common Stock — 6,333 shares (Direct)
Footnotes (1)
  1. Restricted stock units convert into common stock on a one-for-one basis. On August 13, 2024, the Reporting Person was granted 9,500 restricted stock units, vesting 1/3 on March 28, 2025, March 28, 2026, and March 28, 2027, subject to the Reporting Person's continued service on such vesting date.
RSUs exercised 3,166 units Restricted stock units converted on March 28, 2026
Shares received 3,166 shares Common stock issued upon RSU conversion
Post-transaction holdings 6,333 shares Common stock directly held after transactions
RSU grant size 9,500 units Restricted stock units granted on August 13, 2024
Vesting schedule 1/3 each year Vesting on March 28, 2025, 2026 and 2027
Exercise price $0.00 per share Stated price for RSU conversion to common stock
Restricted Stock Units financial
"Restricted Stock Units convert into common stock on a one-for-one basis."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
derivative security financial
"transaction_code_description: Exercise or conversion of derivative security"
A derivative security is a financial contract whose value comes from the price or performance of something else, such as a stock, bond, commodity, or market index. For investors it acts like an insurance policy or a wager: it can be used to protect against losses, lock in prices, or amplify gains and losses, so it can change a portfolio’s risk and potential return without owning the underlying asset directly.
vesting financial
"vesting 1/3 on March 28, 2025, March 28, 2026, and March 28, 2027"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
continued service financial
"subject to the Reporting Person's continued service on such vesting date."
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
KANTOFF AARON
(Last)(First)(Middle)
C/O AVALO THERAPEUTICS, INC.
1500 LIBERTY RIDGE DRIVE, SUITE 321
(Street)
WAYNE PENNSYLVANIA 19087
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Avalo Therapeutics, Inc. [ AVTX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
03/28/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock03/28/2026M3,166A(1)6,333D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(1)03/28/2026M3,166 (2) (2)Common Stock3,166$03,167D
Explanation of Responses:
1. Restricted stock units convert into common stock on a one-for-one basis.
2. On August 13, 2024, the Reporting Person was granted 9,500 restricted stock units, vesting 1/3 on March 28, 2025, March 28, 2026, and March 28, 2027, subject to the Reporting Person's continued service on such vesting date.
/s/ Christopher Sullivan, Attorney-in-Fact03/31/2026
** Signature of Reporting PersonDate
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 4 (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.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Avalo Therapeutics (AVTX) report for Aaron Kantoff?

Avalo Therapeutics reported that director Aaron Kantoff exercised 3,166 restricted stock units into 3,166 shares of common stock. This was a compensation-related derivative exercise at a stated price of $0.00 per share, not an open-market purchase or sale.

How many Avalo Therapeutics (AVTX) shares does Aaron Kantoff hold after this Form 4?

Following the reported transactions, Aaron Kantoff directly holds 6,333 shares of Avalo Therapeutics common stock. This total reflects the addition of 3,166 shares received from the conversion of restricted stock units disclosed in the Form 4 filing.

What are the terms of Aaron Kantoff’s Avalo Therapeutics (AVTX) restricted stock unit grant?

On August 13, 2024, Aaron Kantoff received a grant of 9,500 restricted stock units. The units vest in three equal one-third installments on March 28, 2025, March 28, 2026, and March 28, 2027, conditioned on his continued service through each vesting date.

Did the Avalo Therapeutics (AVTX) Form 4 show any open-market stock sales or purchases?

The Form 4 does not show any open-market sales or purchases by Aaron Kantoff. It reports a derivative exercise, where 3,166 restricted stock units converted into 3,166 common shares at a stated price of $0.00 per share as part of equity compensation.

How do Avalo Therapeutics (AVTX) restricted stock units convert into common stock?

The filing states that Avalo Therapeutics restricted stock units convert into common stock on a one-for-one basis. In this case, 3,166 restricted stock units converted into 3,166 shares of common stock when the units vested and were settled.