ATAI Life Sciences AG 的 Form 4 申報
IntelGenx Technologies Corp.（IGXT），2024/3/12 申報
- 申報編號
- 0000950170-24-030437
- 申報時間
- 2024/3/12 21:36 ET
- 交易日
- 2023/9/30-2024/3/8
- 申報延遲
- 164 天遲報
- 10b5-1 計畫
- 沒有勾選
這份申報列了 6 筆衍生性交易。交易後 164 天才申報，超過 2 個營業日的期限。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| ATAI Life Sciences AGCIK 0001776242 | 持股 10% 以上大股東 |
| ATAI Life Sciences N.V.CIK 0001840904 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
這份申報沒有這一類的交易。
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/9/30 | Units | J其他取得 | +7,401 | –F2 | – | 7,401 | 間接 | |
| 2023/10/6 | Common Stock | J其他取得 | +56,435,098 | –F4 | – | 8,500,000 | 間接 | |
| 2023/11/28 | Common Stock | P買進取得 | +4,054,054 | –F5 | – | 2,970,000 | 間接 | |
| 2023/11/28 | Common Stock | P買進取得 | +4,053,750 | –F5 | – | 16,052,850 | 間接 | |
| 2024/3/8 | Common Stock | J其他取得 | +5,405,405 | –F6 | – | 9,500,000 | 間接 | |
| 2024/3/8 | Common Stock | J其他取得 | +4,000,000 | –F6 | – | 4,000,000 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
表 II 有 1 筆交易的價格引用這則附註。
- 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.
表 II 有 1 筆交易的價格引用這則附註。
- 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.
表 II 有 2 筆交易的價格引用這則附註。
- 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.
表 II 有 2 筆交易的價格引用這則附註。