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

Role
Director
Signature
/s/ Cawkell Kenneth Anthony
Issuer symbol
ACOG
Transactions as of
12 Nov 2024
Net transactions value
$0
Form type
3
Filing time
12 Nov 2024, 18:51:16 UTC
Next filing
27 Feb 2025
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ACOG Common Shares 100,499 12 Nov 2024 Direct
holding ACOG Common Shares 50,000 12 Nov 2024 by Cawbro Holdings Ltd. F1
holding ACOG Common Shares 67,977 12 Nov 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 12 Nov 2024 Common Shares 27,642 $0.2500 Direct F2
holding ACOG Performance Shares 12 Nov 2024 Common Shares 60,000 $0.2500 Direct F2
holding ACOG Performance Shares 12 Nov 2024 Common Shares 40,000 $0.2500 Direct F2
holding ACOG Performance Shares 12 Nov 2024 Common Shares 12,000 $0.2500 Direct F2
holding ACOG Common Share Options 12 Nov 2024 Common Shares 13,200 $4.12 Direct F3, F4
holding ACOG Warrants 12 Nov 2024 Common Shares 4,000 $7.75 Direct
holding ACOG Class B Series A Preferred Shares 12 Nov 2024 Common Shares 80,000 $0.000000 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.