| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | IGXT | Call Option (Right to Buy) | Other | +7,401 | 7,401 | 30 Sep 2023 | Units | 7,401 | By ATAI Life Sciences AG | F1, F2, F3 | ||||
| transaction | IGXT | Convertible Notes | Other | +8,500,000 | 8,500,000 | 06 Oct 2023 | Common Stock | 56,435,098 | $0.1850 | By ATAI Life Sciences AG | F3, F4 | |||
| transaction | IGXT | Convertible Promissory Note | Purchase | +750,000 | +34% | 2,970,000 | 28 Nov 2023 | Common Stock | 4,054,054 | $0.1850 | By ATAI Life Sciences AG | F3, F5 | ||
| transaction | IGXT | Warrant (Right to Buy) | Purchase | +4,053,750 | +34% | 16,052,850 | 28 Nov 2023 | Common Stock | 4,053,750 | $0.2600 | By ATAI Life Sciences AG | F3, F5 | ||
| transaction | IGXT | Convertible Notes | Other | +1,000,000 | +12% | 9,500,000 | 08 Mar 2024 | Common Stock | 5,405,405 | $0.1850 | By ATAI Life Sciences AG | F3, F6 | ||
| transaction | IGXT | Warrant (Right to Buy) | Other | +4,000,000 | 4,000,000 | 08 Mar 2024 | Common Stock | 4,000,000 | $0.1700 | By ATAI Life Sciences AG | F3, F6 |
| Id | Content |
|---|---|
| F1 | Each unit consists of (a) one $1,000 principal amount convertible promissory note, convertible into shares of Common Stock at $0.185, and (b) 5,405 common stock purchase warrants, at a price of $0.26 per share, at any time prior to August 31, 2026. |
| F2 | On September 30, 2023, ATAI AG entered into an amendment to a subscription agreement with the Issuer to provide ATAI AG with the right to purchase up to 7,401 additional units. |
| F3 | Reflects securities held of record by ATAI 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. |
| F4 | On September 30, 2023, the Issuer, IntelGenX Corp. and ATAI Life Sciences AG ("ATAI AG") entered into the Second Amended and Restated Loan Agreement, which provided, among other things, for the ability for ATAI AG to convert the $8,500,000 principal amount and accrued interest under the original term loan agreement into up to 56,435,098 shares of Common Stock at a price of $0.185 per share, subject to stock exchange approval, which was obtained on October 6, 2023. |
| F5 | On November 28, 2023, ATAI AG purchased 750 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 $750,000. |
| F6 | On March 8, 2024, the Issuer, IntelGenX Corp. and ATAI AG entered into the Third Amended and Restated Loan Agreement (the "Third Amendment"), pursuant to which ATAI AG provided to IntelGenX Corp. an additional term loan in an amount equal to $1,000,000, which is convertible to shares of Common Stock at a price of $0.185 per share. Concurrently and in connection with the execution of the Third Amendment, the Issuer issued to ATAI AG 4,000,000 warrants to purchase shares of Common Stock at an exercise price of $0.17 per share, for no additional consideration. |