Alumis executive Roy C. Hardiman sells 652 shares

The chief business and strategy officer's sale was tied to tax obligations from restricted stock units granted July 29, 2025, rather than a discretionary trade.

Available on EDGAR 11/04/2026 - 04:38 PM EST Accepted by SEC EDGAR 11/04/2026 - 04:37 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Alumis Inc. (ALMS) Chief Business & Strategy Officer Roy C. Hardiman sold 652 common shares on November 2, 2026, at a weighted-average price of $6.52 per share, with sales ranging from $6.42 to $6.52. The sale was effected under the issuer’s policy requiring sell-to-cover for tax obligations from vesting and settlement of restricted stock units granted July 29, 2025; it was not discretionary, and no Rule 10b5-1 plan is reported. Hardiman’s direct holdings afterward were 207,094 shares; the report also lists 6,417 shares held indirectly through a family member.

Insider Trade Summary

Net Seller: 652 shares

Net Sell 1 txn

Insider Hardiman Roy C.

Role Chief Business & Strategy Ofcr

Sold 652 shs ($4K)

Share of Position Sold 0.31%

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F2	652	$6.52	$4K
Holding	Common Stock F3	--	--	--

Holdings After Transaction: Common Stock — 207,094 shares (Direct); Common Stock — 6,417 shares (Indirect, By Family Member)

Holdings Before and After: Common Stock, 207,746 to 207,094 shares (Direct)

Other Insiders: 5 other insiders reported open-market sales of this stock in the 30 days up to this filing.

Footnotes (3)

1. F1. The sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy tax obligations of the Reporting Person incurred with the vesting and settlement of restricted stock units granted on July 29, 2025, and does not represent a discretionary sale by the Reporting Person.
2. F2. The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.42 to $6.52 per share. 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 range set forth in this footnote.
3. F3. Shares are held directly by a family member of Reporting Person residing in his primary residence.

Key Figures

Common shares sold: 652 shares Weighted-average sale price: $6.52 per share Sale price range: $6.42-$6.52 per share +2 more

5 metrics

Common shares sold 652 shares November 2, 2026

Weighted-average sale price $6.52 per share Sale on November 2, 2026

Sale price range $6.42-$6.52 per share Multiple transactions on November 2, 2026

Direct common shares following transaction 207,094 shares Reported after the November 2, 2026 sale

Shares held indirectly through a family member 6,417 shares Reported on November 2, 2026

Key Terms

sell-to-cover, restricted stock units, weighted average sale price

3 terms

sell-to-cover financial

"policy requiring sell-to-cover to satisfy tax obligations"

Sell-to-cover is when part of newly issued or exercised company stock is immediately sold to pay required taxes and fees, so the recipient keeps the remaining shares. For investors this matters because it reduces the number of shares insiders or employees actually hold after a grant, can create small, routine share sales that aren’t signal of cashing out, and slightly increases share supply on the market—like selling a portion of a paycheck to cover the tax bill.

restricted stock units financial

"vesting and settlement of restricted stock units"

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.

weighted average sale price financial

"reported price in Column 4 is a weighted average sale price"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many ALMS shares did Roy C. Hardiman sell, and at what price?

Roy C. Hardiman sold 652 shares on November 2, 2026, at a weighted-average price of $6.52 per share. The shares were sold in multiple transactions at prices ranging from $6.42 to $6.52.

Why did ALMS's chief business and strategy officer sell shares?

The sale was made under the issuer’s policy requiring sell-to-cover to satisfy tax obligations incurred with the vesting and settlement of restricted stock units granted July 29, 2025. The footnote states that the sale was not discretionary; no Rule 10b5-1 plan is reported.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

UNITED 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^*

Hardiman Roy C.

(Last) (First) (Middle)

C/O ALUMIS INC.

280 EAST GRAND AVENUE

(Street)

SOUTH SAN FRANCISCO CALIFORNIA 94080

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ALUMIS INC. [ ALMS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Business & Strategy Ofcr

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/02/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	11/02/2026		S		652(1)	D	$6.52(2)	207,094	D
Common Stock								6,417	I	By Family Member(3)

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The sale reported on this Form 4 was effected pursuant to the Issuer's policy requiring sell-to-cover to satisfy tax obligations of the Reporting Person incurred with the vesting and settlement of restricted stock units granted on July 29, 2025, and does not represent a discretionary sale by the Reporting Person.

2. The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $6.42 to $6.52 per share. 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 range set forth in this footnote.

3. Shares are held directly by a family member of Reporting Person residing in his primary residence.

	/s/ Sanam Pangali, Attorney-in-Fact	11/04/2026
	** 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 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)