ATAI Life Sciences N.V. - Aug 31, 2023 Form 4 Insider Report for IntelGenx Technologies Corp. (IGXT)

Role
10%+ Owner
Signature
ATAI Life Sciences N.V., By: /s/ Florian Brand, Chief Executive Officer
Stock symbol
IGXT
Transactions as of
Aug 31, 2023
Transactions value $
$2,220,000
Form type
4
Date filed
9/5/2023, 09:00 PM
Previous filing
Feb 28, 2022
Next filing
Mar 12, 2024

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
transaction IGXT Convertible Promissory Note Purchase $2.22M $2.22M Aug 31, 2023 Common Stock 12M $0.19 By ATAI Life Sciences AG F1, F2, F3
transaction IGXT Warrant (Right to Buy) Purchase +12M 12M Aug 31, 2023 Common Stock 12M $0.26 By ATAI Life Sciences AG F1, F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each of the convertible promissory notes and the warrants are convertible and exercisable, respectively, at the option of the holder, subject to the shareholder approval limitations, as described further in the respective documents.
F2 On August 31, 2023, ATAI Life Sciences AG purchased 2,220 units from the Issuer, with each unit consisting of (i) $1,000 principal amount convertible promissory note and (ii) 5,405 warrants to purchase shares of Common Stock, for aggregate consideration of $2,220,000.
F3 Reflects securities held of record by ATAI Life Sciences AG, which is a wholly owned subsidiary of ATAI Life Sciences N.V., and as a result, ATAI Life Sciences N.V. may be deemed to share beneficial ownership over the securities reported herein.