Ogden CAP Associates, LLC's Form 4 filing
Cognition Therapeutics Inc (CGTX) · filed Oct 15, 2021
- Accession no.
- 0001104659-21-126903
- Filed
- Oct 15, 2021, 9:51 PM ET
- Trade date
- Oct 13, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market sales total $888.6. 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 |
|---|---|
| Ogden CAP Associates, LLCCIK 0001885867 | 10% Owner |
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 | +407,916 | –F1 | – | 407,916 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +103,055 | –F2 | – | 510,971 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +272,756 | –F3 | – | 783,727 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +1,263,575 | –F4 | – | 2,047,302 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionAcquired | +135,679 | –F5 | – | 2,182,981 | Direct | |
| Oct 13, 2021 | Common Stock | XIn-the-money exerciseAcquired | +27,471 | $0.032 | +$879.07 | 2,210,452 | Direct | |
| Oct 13, 2021 | Common Stock | SSaleDisposed | −74.05 | $12.00 | −$888.6 | 2,210,377 | Direct |
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 | −407,916 | $0.00 | $0 | 0 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −103,055 | $0.00 | $0 | 0 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −272,756 | $0.00 | $0 | 0 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −1,263,575 | $0.00 | $0 | 0 | Direct | |
| Oct 13, 2021 | Common Stock | CConversionDisposed | −135,679 | $0.00 | $0 | 0 | Direct | |
| Oct 13, 2021 | Common Stock | XIn-the-money exerciseDisposed | −27,471 | $0.00 | $0 | 0 | Direct |
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 Convertible Preferred Stock converted into Cognition Therapeutics, Inc. ("CGTX") common stock upon the closing of the issuer's initial public offering ("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-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.
- F3
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.
- F4
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.
- F5
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.