CGTX

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,971

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 · 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.

SEC source: 0001104659-21-126903 · tm2130061-8_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,916

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 · 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.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 32

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed 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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.exercise_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.expiration_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 31

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed 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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.exercise_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.expiration_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 30

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed 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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.exercise_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.expiration_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 29

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 0

Underlying: Common Stock · 33,495 shares

Expires 2023-03-15

F4 · 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.

F4 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 28

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 0

Underlying: Common Stock · 34,472 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 27

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · 596,899 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 26

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 0

Underlying: Common Stock · 41,620 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 25

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, NT, LP.

Disclosed balance after: 0

Underlying: Common Stock · 34,238 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 24

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 0

Underlying: Common Stock · 351,844 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 23

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · 255,765 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, LP.

Disclosed balance after: 0

Underlying: Common Stock · 78,298 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund I, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · 245,029 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 B 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 B 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 B 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund I, LP.

Disclosed balance after: 0

Underlying: Common Stock · 418,926 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 B 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 B 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 B 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,424,014 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 B 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 B 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 B 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 60,065

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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 34,472

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 899,905

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 755,375

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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 596,899

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 88,012

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 65,883

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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 41,620

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 385,248

F3 · kind: On October 13, 2021, the reporting person exercised a warrant to purchase 33,495 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 90.28 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 33,404 shares. The issuer paid cash to the reporting person in lieu of any fractional share amounts.

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 385,339

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 351,844

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, NT, LP.

Disclosed balance after: 57,579

SEC source: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, NT, LP.

Disclosed balance after: 34,238

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, QP, LP.

Disclosed balance after: 255,765

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, LP.

Disclosed balance after: 78,298

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 · 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund I, QP, LP.

Disclosed balance after: 245,029

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 · price: The Series B 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund I, LP.

Disclosed balance after: 418,926

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 · price: The Series B 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: 0001104659-21-126906 · tm2130061-6_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,424,014

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 · price: The Series B 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 32

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed 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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.exercise_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.expiration_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 31

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed 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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.exercise_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.expiration_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 30

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed 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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.exercise_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

F5 · derivative.expiration_date: The Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 29

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 0

Underlying: Common Stock · 33,495 shares

Expires 2023-03-15

F4 · 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.

F4 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 28

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 0

Underlying: Common Stock · 34,472 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 27

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · 596,899 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 26

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 0

Underlying: Common Stock · 41,620 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 25

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, NT, LP.

Disclosed balance after: 0

Underlying: Common Stock · 34,238 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 24

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Memory SPV II, LP.

Disclosed balance after: 0

Underlying: Common Stock · 351,844 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 23

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · 255,765 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 22

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund II, LP.

Disclosed balance after: 0

Underlying: Common Stock · 78,298 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 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.

F2 · 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.

F2 · 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 21

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund I, QP, LP.

Disclosed balance after: 0

Underlying: Common Stock · 245,029 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 B 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 B 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 B 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 20

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund I, LP.

Disclosed balance after: 0

Underlying: Common Stock · 418,926 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 B 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 B 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 B 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · derivative · entry 19

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,424,014 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 B 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 B 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 B 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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 18

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 60,065

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 Simple Agreement for Future Equity converted into CGTX common stock upon the closing of the issuer's IPO at 80% of the per share offering price of the IPO, as adjusted for a 1-for-3.2345 reverse stock split, and had no expiration.

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 17

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, NT, LP.

Disclosed balance after: 34,472

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 · 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.