Cawkell Kenneth Anthony - Nov 12, 2024 Form 3 Insider Report for Alpha Cognition Inc. (ACOG)

Role
Director
Signature
/s/ Cawkell Kenneth Anthony
Stock symbol
ACOG
Transactions as of
Nov 12, 2024
Transactions value $
$0
Form type
3
Date filed
11/12/2024, 06:51 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ACOG Common Shares 100K Nov 12, 2024 Direct
holding ACOG Common Shares 50K Nov 12, 2024 by Cawbro Holdings Ltd. F1
holding ACOG Common Shares 68K Nov 12, 2024 by CMI Cornerstone Management Corp. F1

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 Perforrmance Shares Nov 12, 2024 Common Shares 27.6K $0.25 Direct F2
holding ACOG Performance Shares Nov 12, 2024 Common Shares 60K $0.25 Direct F2
holding ACOG Performance Shares Nov 12, 2024 Common Shares 40K $0.25 Direct F2
holding ACOG Performance Shares Nov 12, 2024 Common Shares 12K $0.25 Direct F2
holding ACOG Common Share Options Nov 12, 2024 Common Shares 13.2K $4.12 Direct F3, F4
holding ACOG Warrants Nov 12, 2024 Common Shares 4K $7.75 Direct
holding ACOG Class B Series A Preferred Shares Nov 12, 2024 Common Shares 80K $0.00 by CMI Cornerstone Management Corp. F1, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F2 Options with performance criteria; fully vested.
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$4.12 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.