LEONARD MERTZ - 12 Nov 2024 Form 3 Insider Report for Alpha Cognition Inc. (ACOG)

Role
Director
Signature
/s/ Mertz Leonard Powell
Issuer symbol
ACOG
Transactions as of
12 Nov 2024
Net transactions value
$0
Form type
3
Filing time
12 Nov 2024, 19:11:48 UTC
Next filing
15 Nov 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 138,495 12 Nov 2024 Direct
holding ACOG Common Shares 85,030 12 Nov 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 12 Nov 2024 Common Shares 12,000 $5.21 Direct F1, F2
holding ACOG Common Share Options 12 Nov 2024 Common Shares 4,000 $5.21 Direct F1, F2
holding ACOG Common Share Options 12 Nov 2024 Common Shares 20,000 $4.12 Direct F3, F4
holding ACOG Class B Preferred Series A Shares 12 Nov 2024 Common Shares 60,015 $0.000000 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.