CGTX

SEC source: 0001104659-22-119719 · tm2230532-3_4seq1.xml · nonDerivative · entry 2

Kreis Leslie W. · CIK 0001813316 · Director

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Fund II NT, LP · CIK 0001728851 · 10% owner

BIOS Memory SPV II, LP · CIK 0001666485 · 10% owner

BIOS Equity Partners III, LP · CIK 0001831976 · 10% owner

BIOS Fund III, LP · CIK 0001791917 · 10% owner

BIOS Fund III QP, LP · CIK 0001791916 · 10% owner

BIOS Fund III NT, LP · CIK 0001791910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III QP, LP

Disclosed balance after: 2,009,686

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.23 to $1.54, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management.

F2 · ownership.nature: Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119719 · tm2230532-3_4seq1.xml · nonDerivative · entry 1

Kreis Leslie W. · CIK 0001813316 · Director

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Fund II NT, LP · CIK 0001728851 · 10% owner

BIOS Memory SPV II, LP · CIK 0001666485 · 10% owner

BIOS Equity Partners III, LP · CIK 0001831976 · 10% owner

BIOS Fund III, LP · CIK 0001791917 · 10% owner

BIOS Fund III QP, LP · CIK 0001791916 · 10% owner

BIOS Fund III NT, LP · CIK 0001791910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III NT, LP

Disclosed balance after: 324,760

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.23 to $1.54, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management.

F2 · ownership.nature: Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119721 · tm2230532-4_4seq1.xml · nonDerivative · entry 3

Fletcher Aaron G.L. · CIK 0001789490 · Director

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

BIOS Fund I, LP · CIK 0001697316 · 10% owner

BIOS Fund I QP, LP · CIK 0001700297 · 10% owner

BIOS Memory SPV I, LP · CIK 0001643749 · 10% owner

Bios Equity Partners II, LP · CIK 0001813313 · 10% owner

BIOS Fund II, LP · CIK 0001714576 · 10% owner

BIOS Fund II QP, LP · CIK 0001716869 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Bios Fund III, LP

Disclosed balance after: 307,877

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.23 to $1.54, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management.

F2 · ownership.nature: Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119721 · tm2230532-4_4seq1.xml · nonDerivative · entry 2

Fletcher Aaron G.L. · CIK 0001789490 · Director

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

BIOS Fund I, LP · CIK 0001697316 · 10% owner

BIOS Fund I QP, LP · CIK 0001700297 · 10% owner

BIOS Memory SPV I, LP · CIK 0001643749 · 10% owner

Bios Equity Partners II, LP · CIK 0001813313 · 10% owner

BIOS Fund II, LP · CIK 0001714576 · 10% owner

BIOS Fund II QP, LP · CIK 0001716869 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III QP, LP

Disclosed balance after: 2,009,686

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.23 to $1.54, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management.

F2 · ownership.nature: Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119721 · tm2230532-4_4seq1.xml · nonDerivative · entry 1

Fletcher Aaron G.L. · CIK 0001789490 · Director

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

BIOS Fund I, LP · CIK 0001697316 · 10% owner

BIOS Fund I QP, LP · CIK 0001700297 · 10% owner

BIOS Memory SPV I, LP · CIK 0001643749 · 10% owner

Bios Equity Partners II, LP · CIK 0001813313 · 10% owner

BIOS Fund II, LP · CIK 0001714576 · 10% owner

BIOS Fund II QP, LP · CIK 0001716869 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III NT, LP

Disclosed balance after: 324,760

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.23 to $1.54, inclusive. The reporting persons undertake to provide to Cognition Therapeutics Inc., any security holder of Cognition Therapeutics Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (4) to this Form 4.

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management.

F2 · ownership.nature: Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119339 · tm2230532-1_4seq1.xml · nonDerivative · entry 3

Kreis Leslie W. · CIK 0001813316 · Director

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Fund II NT, LP · CIK 0001728851 · 10% owner

BIOS Memory SPV II, LP · CIK 0001666485 · 10% owner

BIOS Equity Partners III, LP · CIK 0001831976 · 10% owner

BIOS Fund III, LP · CIK 0001791917 · 10% owner

BIOS Fund III QP, LP · CIK 0001791916 · 10% owner

BIOS Fund III NT, LP · CIK 0001791910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Bios Fund III, LP

Disclosed balance after: 299,608

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, L.P. ("Bios Fund I"), Bios Fund I QP, L.P. ("Bios Fund I QP") and Bios Memory SPV I, L.P. ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, L.P. ("Bios Fund II"), Bios Fund II QP, L.P. ("Bios Fund II QP"), Bios Fund II NT, L.P. ("Bios Fund II NT") and Bios Memory SPV II, L.P. ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT").

F2 · ownership.nature: Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119339 · tm2230532-1_4seq1.xml · nonDerivative · entry 2

Kreis Leslie W. · CIK 0001813316 · Director

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Fund II NT, LP · CIK 0001728851 · 10% owner

BIOS Memory SPV II, LP · CIK 0001666485 · 10% owner

BIOS Equity Partners III, LP · CIK 0001831976 · 10% owner

BIOS Fund III, LP · CIK 0001791917 · 10% owner

BIOS Fund III QP, LP · CIK 0001791916 · 10% owner

BIOS Fund III NT, LP · CIK 0001791910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III QP, LP

Disclosed balance after: 1,955,677

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, L.P. ("Bios Fund I"), Bios Fund I QP, L.P. ("Bios Fund I QP") and Bios Memory SPV I, L.P. ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, L.P. ("Bios Fund II"), Bios Fund II QP, L.P. ("Bios Fund II QP"), Bios Fund II NT, L.P. ("Bios Fund II NT") and Bios Memory SPV II, L.P. ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT").

F2 · ownership.nature: Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119339 · tm2230532-1_4seq1.xml · nonDerivative · entry 1

Kreis Leslie W. · CIK 0001813316 · Director

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Fund II NT, LP · CIK 0001728851 · 10% owner

BIOS Memory SPV II, LP · CIK 0001666485 · 10% owner

BIOS Equity Partners III, LP · CIK 0001831976 · 10% owner

BIOS Fund III, LP · CIK 0001791917 · 10% owner

BIOS Fund III QP, LP · CIK 0001791916 · 10% owner

BIOS Fund III NT, LP · CIK 0001791910 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III NT, LP

Disclosed balance after: 316,038

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, L.P. ("Bios Fund I"), Bios Fund I QP, L.P. ("Bios Fund I QP") and Bios Memory SPV I, L.P. ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, L.P. ("Bios Fund II"), Bios Fund II QP, L.P. ("Bios Fund II QP"), Bios Fund II NT, L.P. ("Bios Fund II NT") and Bios Memory SPV II, L.P. ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT").

F2 · ownership.nature: Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119341 · tm2230532-2_4seq1.xml · nonDerivative · entry 3

Fletcher Aaron G.L. · CIK 0001789490 · Director

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

BIOS Fund I, LP · CIK 0001697316 · 10% owner

BIOS Fund I QP, LP · CIK 0001700297 · 10% owner

BIOS Memory SPV I, LP · CIK 0001643749 · 10% owner

Bios Equity Partners II, LP · CIK 0001813313 · 10% owner

BIOS Fund II, LP · CIK 0001714576 · 10% owner

BIOS Fund II QP, LP · CIK 0001716869 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Bios Fund III, LP

Disclosed balance after: 299,608

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management.

F2 · ownership.nature: Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119341 · tm2230532-2_4seq1.xml · nonDerivative · entry 2

Fletcher Aaron G.L. · CIK 0001789490 · Director

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

BIOS Fund I, LP · CIK 0001697316 · 10% owner

BIOS Fund I QP, LP · CIK 0001700297 · 10% owner

BIOS Memory SPV I, LP · CIK 0001643749 · 10% owner

Bios Equity Partners II, LP · CIK 0001813313 · 10% owner

BIOS Fund II, LP · CIK 0001714576 · 10% owner

BIOS Fund II QP, LP · CIK 0001716869 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III QP, LP

Disclosed balance after: 1,955,677

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management.

F2 · ownership.nature: Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-119341 · tm2230532-2_4seq1.xml · nonDerivative · entry 1

Fletcher Aaron G.L. · CIK 0001789490 · Director

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

BIOS Fund I, LP · CIK 0001697316 · 10% owner

BIOS Fund I QP, LP · CIK 0001700297 · 10% owner

BIOS Memory SPV I, LP · CIK 0001643749 · 10% owner

Bios Equity Partners II, LP · CIK 0001813313 · 10% owner

BIOS Fund II, LP · CIK 0001714576 · 10% owner

BIOS Fund II QP, LP · CIK 0001716869 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III NT, LP

Disclosed balance after: 316,038

F1 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, LP ("Bios Fund I"), Bios Fund I QP, LP ("Bios Fund I QP") and Bios Memory SPV I, LP ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, LP ("Bios Fund II"), Bios Fund II QP, LP ("Bios Fund II QP"), Bios Fund II NT, LP ("Bios Fund II NT") and Bios Memory SPV II, LP ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT"). Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management.

F2 · ownership.nature: Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.

F3 · ownership.nature: Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F4 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001062993-22-022243 · form4.xml · nonDerivative · entry 1

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,500

F1 · price: Represents the weighted average purchase price of $1.297. These shares were acquired in multiple transactions ranging from $1.285 to $1.300 rounded to the nearest thousandth. The reporting person undertakes to provide, upon request by the Securities and Exchange Commission, Cognition Therapeutics, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001062993-22-022242 · form4.xml · nonDerivative · entry 1

Wallace Peggy · CIK 0001876466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,961

SEC source: 0001062993-22-020050 · form4.xml · nonDerivative · entry 1

Golden Seeds Cognition Therapeutics LLC · CIK 0001884796 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Golden Seeds Cognition Therapeutics, LLC distributed these shares to its members on a pro rata basis for no consideration.

SEC source: 0001062993-22-020049 · form4.xml · nonDerivative · entry 1

Wallace Peggy · CIK 0001876466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,461

F1 · shares: Represents shares of common stock distributed to the Reporting Person from Golden Seeds Cognition Therapeutics, LLC for no consideration.

SEC source: 0001062993-22-014801 · form4.xml · derivative · entry 1

Wallace Peggy · CIK 0001876466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-014800 · form4.xml · derivative · entry 1

RICHSTONE ELLEN B · CIK 0001281526 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-014802 · form4.xml · derivative · entry 1

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The option vests 25% on June 10, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates.

SEC source: 0001062993-22-014799 · form4.xml · derivative · entry 1

Monia Brett P · CIK 0001537529 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-014798 · form4.xml · derivative · entry 1

Khattar Jack A. · CIK 0001539937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001104659-22-071148 · tm2218458-1_4seq1.xml · derivative · entry 3

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner

Cavu Management, LP · CIK 0001813270 · Director · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: BP Directors, LP

Disclosed balance after: 3,614

Underlying: Common Stock · 2,469 shares

Expires 2023-06-10

F1 · security: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · kind: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.exercise_date: These options vest in full on on June 10, 2023.

F1 · derivative.underlying_shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.underlying_shares: These options vest in full on on June 10, 2023.

F1 · ownership.nature: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F3 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of BP Directors, LP ("Bios Directors"). Cavu Management, LP ("Cavu Management") and Bios Capital Management, LP ("Bios Management") are the general partners of Bios Equity I. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Leslie W. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Dr. Fletcher, is the general partner of Bios Management.

F4 · ownership.nature: Pursuant to a preexisting agreement, Dr. Fletcher is deemed to hold the reported options for the benefit of Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported options, and Bios Equity I, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors, Mr. Kreis and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported options through his or its respective indirect interest in Bios Directors.

F5 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-071148 · tm2218458-1_4seq1.xml · derivative · entry 2

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner

Cavu Management, LP · CIK 0001813270 · Director · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,585

Underlying: Common Stock · 2,469 shares

Expires 2023-06-10

F1 · security: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · kind: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.exercise_date: These options vest in full on on June 10, 2023.

F1 · derivative.underlying_shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.underlying_shares: These options vest in full on on June 10, 2023.

SEC source: 0001104659-22-071148 · tm2218458-1_4seq1.xml · derivative · entry 1

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner

Cavu Management, LP · CIK 0001813270 · Director · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,054

Underlying: Common Stock · 8,335 shares

Expires 2023-06-10

F1 · security: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · kind: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.exercise_date: These options vest in full on on June 10, 2023.

F1 · derivative.underlying_shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.underlying_shares: These options vest in full on on June 10, 2023.

SEC source: 0001062993-22-015362 · form4a.xml · derivative · entry 1

Monia Brett P · CIK 0001537529 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F2 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-015361 · form4a.xml · derivative · entry 1

RICHSTONE ELLEN B · CIK 0001281526 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F2 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-015359 · form4a.xml · derivative · entry 1

Wallace Peggy · CIK 0001876466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F2 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-015360 · form4a.xml · derivative · entry 1

Khattar Jack A. · CIK 0001539937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,335

Underlying: Common Stock · 8,335 shares

Expires 2032-06-10

F1 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F2 · derivative.exercise_date: The option vests on June 10, 2023, subject to the Reporting Person's continued service through the vesting date.

SEC source: 0001062993-22-015357 · form4a.xml · derivative · entry 1

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-06-10

F1 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F2 · derivative.exercise_date: The option vests 25% on June 10, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service through the applicable vesting dates.

SEC source: 0001104659-22-076177 · tm2220104-1_4aseq1.xml · derivative · entry 3

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner

Cavu Management, LP · CIK 0001813270 · Director · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner

Kreis Leslie W. · CIK 0001813316 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: BP Directors, LP

Disclosed balance after: 3,614

Underlying: Common Stock · 2,469 shares

Expires 2023-06-10

F1 · security: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F6 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F1 · kind: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.exercise_date: These options vest in full on June 10, 2023.

F1 · derivative.underlying_shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.underlying_shares: These options vest in full on June 10, 2023.

F1 · ownership.nature: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F3 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of BP Directors, LP ("Bios Directors"). Cavu Management, LP ("Cavu Management") and Bios Capital Management, LP ("Bios Management") are the general partners of Bios Equity I. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Leslie W. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Dr. Fletcher, is the general partner of Bios Management.

F4 · ownership.nature: Pursuant to a preexisting agreement, Dr. Fletcher is deemed to hold the reported options for the benefit of Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported options, and Bios Equity I, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors, Mr. Kreis and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported options through his or its respective indirect interest in Bios Directors.

F5 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001104659-22-076177 · tm2220104-1_4aseq1.xml · derivative · entry 2

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner

Cavu Management, LP · CIK 0001813270 · Director · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner

Kreis Leslie W. · CIK 0001813316 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,585

Underlying: Common Stock · 2,469 shares

Expires 2023-06-10

F1 · security: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F6 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F1 · kind: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.exercise_date: These options vest in full on June 10, 2023.

F1 · derivative.underlying_shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.underlying_shares: These options vest in full on June 10, 2023.

SEC source: 0001104659-22-076177 · tm2220104-1_4aseq1.xml · derivative · entry 1

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · Director · 10% owner

Cavu Management, LP · CIK 0001813270 · Director · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · Director · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · Director · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · Director · 10% owner

Kreis Leslie W. · CIK 0001813316 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,054

Underlying: Common Stock · 8,335 shares

Expires 2023-06-10

F1 · security: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F6 · derivative.exercise_price: This amendment is being filed solely for the purpose of correcting a scrivener's error in this item. The correct exercise price is "$1.92" as shown herein, and not "$1.98" as was inadvertently entered in the original filing.

F1 · kind: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F1 · shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.exercise_date: These options vest in full on June 10, 2023.

F1 · derivative.underlying_shares: Consists of options to purchase 8,335 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer.

F2 · derivative.underlying_shares: These options vest in full on June 10, 2023.

SEC source: 0001062993-22-008680 · form4.xml · derivative · entry 1

Caggiano Anthony · CIK 0001892981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The option vests 25% on March 23, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service with the Issuer on such vesting date.

SEC source: 0001062993-22-008679 · form4.xml · derivative · entry 1

O'Brien James Michael · CIK 0001632111 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The option vests 25% on March 23, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service with the Issuer on such vesting date.

SEC source: 0001789490-22-000005 · primary_doc.xml · derivative · entry 2

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Kreis Leslie W. · CIK 0001813316 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By BP Directors, LP

Disclosed balance after: 1,145

Underlying: Common Stock · 1,145 shares

Expires 2031-02-23

F1 · security: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F1 · kind: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F1 · shares: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F2 · derivative.exercise_date: These options vests in four (4) equal annual installments beginning on February 1, 2022. These options were granted on February 23, 2021.

F1 · derivative.underlying_shares: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F2 · derivative.underlying_shares: These options vests in four (4) equal annual installments beginning on February 1, 2022. These options were granted on February 23, 2021.

F1 · ownership.nature: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F3 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of BP Directors, LP ("Bios Directors"). Cavu Management, LP ("Cavu Management") and Bios Capital Management, LP ("Bios Management") are the general partners of Bios Equity I. Cavu Advisors LLC ("Cavu Advisors"), an entity that is managed and controlled by Mr. Leslie W. Kreis, is the general partner of Cavu Management. Bios Advisors GP, LLC ("Bios Advisors"), an entity that is managed and controlled by Dr. Fletcher, is the general partner of Bios Management.

F4 · ownership.nature: Pursuant to a preexisting agreement, Dr. Fletcher is deemed to hold the reported options (covering 1,145 Shares) for the benefit of Bios Directors. Bios Directors may be deemed the direct or indirect beneficial owner of the reported options, and Bios Equity I, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors, Mr. Kreis and Dr. Fletcher may each be deemed the indirect beneficial owner of the reported options through his or its respective indirect interest in Bios Directors. This Form 4 is being filed to report such relationship.

F5 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001789490-22-000005 · primary_doc.xml · derivative · entry 1

Fletcher Aaron G.L. · CIK 0001789490 · Director · 10% owner

Bios Equity Partners, LP · CIK 0001813314 · 10% owner

Cavu Management, LP · CIK 0001813270 · 10% owner

BIOS Capital Management, LP · CIK 0001813845 · 10% owner

Cavu Advisors, LLC · CIK 0001813310 · 10% owner

BIOS Advisors GP, LLC · CIK 0001813844 · 10% owner

Kreis Leslie W. · CIK 0001813316 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,719

Underlying: Common Stock · 1,145 shares

Expires 2031-02-23

F1 · security: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F1 · kind: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F1 · shares: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F2 · derivative.exercise_date: These options vests in four (4) equal annual installments beginning on February 1, 2022. These options were granted on February 23, 2021.

F1 · derivative.underlying_shares: Consists of options to purchase 1,145 shares of common stock of the Issuer, par value $0.001 per share ("Shares"), granted in consideration for Dr. Aaron Fletcher's services as a director of the Issuer. These options were granted to Dr. Fletcher on February 23, 2021, together with options to purchase 2,719 additional Shares (3,864 Shares in total).

F2 · derivative.underlying_shares: These options vests in four (4) equal annual installments beginning on February 1, 2022. These options were granted on February 23, 2021.

SEC source: 0001891015-21-000006 · edgar.xml · derivative · entry 1

RICHSTONE ELLEN B · CIK 0001281526 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,670

Underlying: Common Stock · 16,670 shares

Expires 2031-11-01

F1 · derivative.exercise_date: The options will vest and become exercisable in thirty-six (36) equal monthly installments, subject to the reporting person's continuous service as of each such date.

SEC source: 0001891015-21-000016 · edgar.xml · derivative · entry 1

Caggiano Anthony · CIK 0001892981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,676

Underlying: Common Stock · 161,676 shares

Expires 2031-11-01

F1 · derivative.exercise_date: 25% of the shares of common stock underlying the option vest on November 1, 2022. The remaining shares underlying the option will vest and become exercisable thereafter in equal installments every six (6) months until November 1, 2025.

SEC source: 0001104659-21-126362 · tm2130061-3_4seq1.xml · nonDerivative · entry 1

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

SEC source: 0001104659-21-126361 · tm2130061-2_4seq1.xml · nonDerivative · entry 1

O'Brien James Michael · CIK 0001632111 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · derivative · entry 13

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,471 shares

Expires 2023-03-15

F7 · derivative.exercise_date: The warrant expires on the earliest of (i) March 15, 2023, (ii) upon a liquidation, dissolution or winding up of the Company, (iii) the closing of a Sale Transaction (as defined in the warrant), (iv) upon the closing of the issuer's IPO or (v) upon repayment of a promissory note issued in connection with the warrant.

F7 · derivative.expiration_date: The warrant expires on the earliest of (i) March 15, 2023, (ii) upon a liquidation, dissolution or winding up of the Company, (iii) the closing of a Sale Transaction (as defined in the warrant), (iv) upon the closing of the issuer's IPO or (v) upon repayment of a promissory note issued in connection with the warrant.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · derivative · entry 12

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 135,679 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: 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.

F5 · derivative.exercise_date: 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.

F5 · derivative.expiration_date: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · derivative · entry 11

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,263,575 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: 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.

F4 · derivative.exercise_date: 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.

F4 · derivative.expiration_date: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · derivative · entry 10

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 272,756 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: 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.

F3 · derivative.exercise_date: 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.

F3 · derivative.expiration_date: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · derivative · entry 9

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,055 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: 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.

F2 · derivative.exercise_date: 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.

F2 · derivative.expiration_date: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · derivative · entry 8

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 407,916 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 7

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,210,377

F6 · kind: On October 13, 2021, the reporting person exercised a warrant to purchase 27,471 shares of CGTX common stock for $0.032 per share. The reporting person paid the exercise price on a cashless basis, resulting in CGTX's withholding of 74.05 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 27,396 shares. The issuer paid cash to the reporting person in lieu of any fractional share amounts.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 6

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,210,452

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 5

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,182,981

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · price: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 4

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,047,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · price: 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 3

Ogden CAP Associates, LLC · CIK 0001885867 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 783,727

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · price: 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.