Alpha Cognition Inc. — Director's Dealing 2024

Nov 13, 2024

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Alpha Cognition Inc. (ACOG)
CIK: 0001655923
Period of Report: 2024-11-12

Reporting Person: MERTZ PHILLIP JOSEPH (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Shares	50233	Direct
Common Shares	12560	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Common Share Options	$5.21	2031-12-20	Common Shares (8000)		Direct
Common Share Options	$5.21	2032-05-31	Common Shares (4000)		Direct
Common Share Options	$3.4	2033-06-08	Common Shares (13200)		Direct
Class B Preferred Series A Shares	$0		Common Shares (35328)		Direct
Class B Preferred Series A Shares	$0		Common Shares (8832)		Indirect

Footnotes

F1: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F2: Options are fully vested.

F3: Converted from Canadian exercise price of C$7.00 at C$1.3439=USD$1.00.

F4: 12.5% vested on June 8, 2023, and the remaining 87.5% vests in equal monthly installments until January 30, 2026.

F5: Converted from Canadian exercise price of C$5.50 at C$1.3358=USD$1.00.

F6: The Class B Preferred Series A Shares are convertible at any time, at the holder's election, on a one-for-one basis, and will convert automatically upon certain events as described in the Issuer's Form S-1 registration statement. The Class B Preferred Series A Shares do not expire.