Leonard Mertz - Nov 12, 2024 Form 3 Insider Report for Alpha Cognition Inc. (ACOG)

Role
Director
Signature
/s/ Mertz Leonard Powell
Stock symbol
ACOG
Transactions as of
Nov 12, 2024
Transactions value $
$0
Form type
3
Date filed
11/12/2024, 07:11 PM
Next filing
Nov 15, 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ACOG Common Shares 138K Nov 12, 2024 Direct
holding ACOG Common Shares 85K Nov 12, 2024 by The Len Mertz Trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ACOG Common Share Options Nov 12, 2024 Common Shares 12K $5.21 Direct F1, F2
holding ACOG Common Share Options Nov 12, 2024 Common Shares 4K $5.21 Direct F1, F2
holding ACOG Common Share Options Nov 12, 2024 Common Shares 20K $4.12 Direct F3, F4
holding ACOG Class B Preferred Series A Shares Nov 12, 2024 Common Shares 60K $0.00 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Options are fully vested.
F2 Converted from Canadian exercise price of C$7.00 at C$1.3439=USD$1.00.
F3 12.5% vested on June 8, 2023, and the remaining 87.5% vests in equal monthly installments until January 30, 2026.
F4 Converted from Canadian exercise price of C$5.50 at C$1.3358=USD$1.00.
F5 The Class B Preferred Series A Shares are convertible at any time, at the holder's election, on a one-for-one basis, and will convert automatically upon certain events as described in the Issuer's Form S-1 registration statement. The Class B Preferred Series A Shares do not expire.