ATAI Life Sciences AG's Form 4 filing
IntelGenx Technologies Corp. (IGXT) · filed Mar 12, 2024
- Accession no.
- 0000950170-24-030437
- Filed
- Mar 12, 2024, 9:36 PM ET
- Trade date
- Sep 30, 2023-Mar 8, 2024
- Filing delay
- 164 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 6 derivative transactions. It was filed 164 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| ATAI Life Sciences AGCIK 0001776242 | 10% Owner |
| ATAI Life Sciences N.V.CIK 0001840904 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2023 | Units | JOtherAcquired | +7,401 | –F2 | – | 7,401 | Indirect | |
| Oct 6, 2023 | Common Stock | JOtherAcquired | +56,435,098 | –F4 | – | 8,500,000 | Indirect | |
| Nov 28, 2023 | Common Stock | PPurchaseAcquired | +4,054,054 | –F5 | – | 2,970,000 | Indirect | |
| Nov 28, 2023 | Common Stock | PPurchaseAcquired | +4,053,750 | –F5 | – | 16,052,850 | Indirect | |
| Mar 8, 2024 | Common Stock | JOtherAcquired | +5,405,405 | –F6 | – | 9,500,000 | Indirect | |
| Mar 8, 2024 | Common Stock | JOtherAcquired | +4,000,000 | –F6 | – | 4,000,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 1 transaction in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.
- 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.
Referenced by the price of 2 transactions in Table II.