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

Role
Director
Signature
/s/ Mertz Phillip Joseph
Stock symbol
ACOG
Transactions as of
Nov 12, 2024
Transactions value $
$0
Form type
3
Date filed
11/12/2024, 07:14 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ACOG Common Shares 50.2K Nov 12, 2024 Direct
holding ACOG Common Shares 12.6K Nov 12, 2024 by Mertz Holdings 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 Common Share Options Nov 12, 2024 Common Shares 8K $5.21 Direct F2, F3
holding ACOG Common Share Options Nov 12, 2024 Common Shares 4K $5.21 Direct F2, F3
holding ACOG Common Share Options Nov 12, 2024 Common Shares 13.2K $3.40 Direct F4, F5
holding ACOG Class B Preferred Series A Shares Nov 12, 2024 Common Shares 35.3K $0.00 Direct F6
holding ACOG Class B Preferred Series A Shares Nov 12, 2024 Common Shares 8.83K $0.00 by Mertz Holdings F1, F6
* 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 are fully vested.
F3 Converted from Canadian exercise price of C$7.00 at C$1.3439=USD$1.00.
F4 12.5% vested on June 8, 2023, and the remaining 87.5% vests in equal monthly installments until January 30, 2026.
F5 Converted from Canadian exercise price of C$5.50 at C$1.3358=USD$1.00.
F6 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.