Breedlove Mark H.'s Form 4 filing
Cognition Therapeutics Inc (CGTX) · filed Oct 15, 2021
- Accession no.
- 0001104659-21-126894
- Filed
- Oct 15, 2021, 9:02 PM ET
- Trade date
- Oct 13, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 5 derivative transactions. Open-market sales total $140.88. It was filed 2 days after the trade.
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 |
|---|---|
| Breedlove Mark H.CIK 0001876529 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 13, 2021 | Common Stock | CConversionAcquired | +44,806 | –F1 | – | 44,806 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +36,714 | –F2 | – | 81,520 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +225,281 | –F3 | – | 306,801 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +93,296 | –F4 | – | 400,097 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +4,354 | $0.032 | +$139.33 | 404,451 | Indirect | |
| Oct 13, 2021 | Common Stock | SSaleDisposed | −11.74 | $12.00 | −$140.88 | 404,439 | Indirect |
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 |
|---|---|---|---|---|---|---|---|---|
| Oct 13, 2021 | Common Stock | CConversionDisposed | −44,806 | $0.00 | $0 | 0 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −36,714 | $0.00 | $0 | 0 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −225,281 | $0.00 | $0 | 0 | Indirect | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −93,296 | $0.00 | $0 | 0 | Indirect | |
| Oct 13, 2021 | Common Stock | XIn-the-money exerciseDisposed | −4,354 | $0.00 | $0 | 0 | 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.
- F1
The Series A-1 Convertible Preferred Stock converted into CGTX common stock upon the closing of the issuer's IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.
Referenced by the price of 1 transaction in Table I.
- F2
The Series A-2 Convertible Preferred Stock converted into CGTX common stock upon the closing of the issuer's IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.
Referenced by the price of 1 transaction in Table I.
- F3
The Series B Convertible Preferred Stock converted into CGTX common stock upon the closing of the issuer's IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.
Referenced by the price of 1 transaction in Table I.
- F4
The Series B-1 Convertible Preferred Stock converted into CGTX common stock upon the closing of the issuer's IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.
Referenced by the price of 1 transaction in Table I.