CGTX

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 16

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 899,905

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 15

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 14

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 13

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bios Fund III, LP.

Disclosed balance after: 88,012

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 12

Fletcher Aaron G.L. · CIK 0001789490 · Director

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.

F3 · price: 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.

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 11

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 10

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 9

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 385,339

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 8

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 7

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 57,579

SEC source: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 6

Fletcher Aaron G.L. · CIK 0001789490 · Director

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

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 4

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 3

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 2

Fletcher Aaron G.L. · CIK 0001789490 · Director

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: 0001104659-21-126905 · tm2130061-5_4seq1.xml · nonDerivative · entry 1

Fletcher Aaron G.L. · CIK 0001789490 · Director

10b5-1 filing: Not disclosed

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

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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 311,706 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.

F7 · 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.

F7 · 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.

F7 · 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,276 shares

Expires 2023-03-15

F6 · 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.

F6 · 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 486,742 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-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.

F4 · 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.

F4 · 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,237,959 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 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.

F3 · 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.

F3 · 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 167,721 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-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.

F2 · 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.

F2 · 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 273,321 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-1 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-1 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-1 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,489,691

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.

F7 · 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,177,985

F5 · kind: On October 13, 2021, the reporting person exercised a warrant to purchase 12,276 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 33.09 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 12,242 shares. The issuer paid cash to the reporting person in lieu of any fractional share amounts.

SEC source: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,178,019

SEC source: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,165,743

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-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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,679,001

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 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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,042

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-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: 0001104659-21-126904 · tm2130061-7_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,321

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-1 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: 0001104659-21-126894 · tm2130061-4_4seq1.xml · derivative · entry 12

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 0

Underlying: Common Stock · 4,354 shares

Expires 2023-03-15

F6 · derivative.exercise_date: The warrant expries 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 initial public offering, or (v) upon repayment of a promissory note issued in connection with the warrant.

F6 · derivative.expiration_date: The warrant expries 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 initial public offering, or (v) upon repayment of a promissory note issued in connection with the warrant.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · derivative · entry 11

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 0

Underlying: Common Stock · 93,296 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-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.

F4 · 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.

F4 · 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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · derivative · entry 10

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 0

Underlying: Common Stock · 225,281 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 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.

F3 · 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.

F3 · 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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · derivative · entry 9

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 0

Underlying: Common Stock · 36,714 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-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.

F2 · 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.

F2 · 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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · derivative · entry 8

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 0

Underlying: Common Stock · 44,806 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-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.

F1 · 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.

F1 · 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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · nonDerivative · entry 7

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 404,439

F5 · kind: On October 13, 2021, the reporting person exercised a warrant to purchase 4,354 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 11.74 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 4,342 shares. The issuer paid cash to the reporting person in lieu of any fractional share amounts.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · nonDerivative · entry 6

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 404,451

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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · nonDerivative · entry 5

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 400,097

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-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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · nonDerivative · entry 4

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 306,801

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 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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · nonDerivative · entry 3

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 81,520

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-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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-21-126894 · tm2130061-4_4seq1.xml · nonDerivative · entry 2

Breedlove Mark H. · CIK 0001876529 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Breedlove Family Limited Partnership.

Disclosed balance after: 44,806

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-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.

F7 · ownership.nature: Represents securities held by the Breedlove Family Limited Partnership. The reporting person, as general partner of the Breedlove Family Limited Partnership, may be deemed to beneficially own the reported securities indirectly, but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001882178-21-000036 · edgar.xml · nonDerivative · entry 1

Wallace Peggy · CIK 0001876466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0001643749-22-000002 · primary_doc.xml · nonDerivative · entry 1

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

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

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

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

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

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

BIOS Memory SPV II, LP · CIK 0001666485 · 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: 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 · security: This line item is being re-reported here to gain access to the filing system for purposes of filing this amendment (this "Amendment") to the Form 4 filed by Bios Memory SPV I, LP on October 15, 2021 (the "Original Filing"). This Amendment is being filed to (i) add certain persons identified in the Original Filing as Reporting Persons and (ii) further describe the relationships between the Reporting Persons in footnotes 3, 4 and 5 of this Amendment.

F3 · security: Bios Equity Partners, LP ("Bios Equity I") is the general partner of Bios Fund I, LP and Bios Fund I QP, LP. Bios Equity Partners II, LP ("Bios Equity II") is the general partner of Bios Fund II, LP, Bios Fund II QP, LP, Bios Fund II NT, LP, and Bios Memory SPV II, LP. Bios Equity Partners III, LP ("Bios Equity III") is the general partner of Bios Fund III, LP, Bios Fund III NT, LP, and Bios Fund III QP, LP. Cavu Management, LP ("Cavu Management") and Bios Capital Management, LP ("Bios Management") are the general partners of Bios Equity I, Bios Equity II, Bios Equity III and Bios Memory SPV I, LP. 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 Capital Management, LP.

F4 · security: Dr. Fletcher, Mr. Kreis, Bios Advisors, Cavu Advisors, Bios Management and Cavu Management each share voting and investment control with respect to the shares held by the following entities: Bios Memory SPV I, LP, Bios Fund I, LP, Bios Fund I QP, LP, Bios Fund II, LP, Bios Fund II QP, LP, Bios Fund II NT, LP, Bios Memory SPV II, LP, Bios Fund III, LP, Bios Fund III NT, LP, and Bios Fund III QP, LP (collectively, the "Bios Equity Entities"). Because of the relationship between Dr. Fletcher, Mr. Kreis, Bios Advisors, Cavu Advisors, Bios Management, Cavu Management and the Bios Equity Entities, each of Dr. Fletcher, Mr. Kreis, Bios Advisors, Cavu Advisors, Bios Management and Cavu Management may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

F5 · security: 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 such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

F2 · 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: 0001789490-22-000004 · primary_doc.xml · nonDerivative · entry 1

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

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

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

BIOS Equity Partners III, LP · CIK 0001831976 · 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 Bios Memory SPV I, LP

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 · security: This line item is being re-reported here to gain access to the filing system for purposes of filing this amendment (this "Amendment") to the Form 4 filed by Dr. Aaron G. L. Fletcher on October 15, 2021 (the "Original Filing"). This Amendment is being filed to (i) add certain persons identified in the Original Filing as Reporting Persons, and (ii) further describe the relationships between the Reporting Persons in footnotes 3, 4 and 5 of this Amendment.

F2 · 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.

F3 · ownership.nature: Bios Equity Partners, LP ("Bios Equity I") is the general partner of Bios Fund I, LP and Bios Fund I QP, LP. Bios Equity Partners II, LP ("Bios Equity II") is the general partner of Bios Fund II, LP, Bios Fund II QP, LP, Bios Fund II NT, LP, and Bios Memory SPV II, LP. Bios Equity Partners III, LP ("Bios Equity III") is the general partner of Bios Fund III, LP, Bios Fund III NT, LP, and Bios Fund III QP, LP. Cavu Management, LP ("Cavu Management") and Bios Capital Management, LP ("Bios Management") are the general partners of Bios Equity I, Bios Equity II, Bios Equity III and Bios Memory SPV I, LP. 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 Capital Management, LP.

F4 · ownership.nature: Dr. Fletcher, Mr. Kreis, Bios Advisors, Cavu Advisors, Bios Management and Cavu Management each share voting and investment control with respect to the shares held by the following entities: Bios Memory SPV I, LP, Bios Fund I, LP, Bios Fund I QP, LP, Bios Fund II, LP, Bios Fund II QP, LP, Bios Fund II NT, LP, Bios Memory SPV II, LP, Bios Fund III, LP, Bios Fund III NT, LP, and Bios Fund III QP, LP (collectively, the "Bios Equity Entities"). Because of the relationship between Dr. Fletcher, Mr. Kreis, Bios Advisors, Cavu Advisors, Bios Management, Cavu Management and the Bios Equity Entities, each of Dr. Fletcher, Mr. Kreis, Bios Advisors, Cavu Advisors, Bios Management and Cavu Management may be deemed to beneficially own the shares held directly by the Bios Equity Entities.

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 such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001882178-21-000027 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,457

Underlying: Common Stock · 54,457 shares

Expires 2031-10-07

F1 · derivative.exercise_date: 25% of the shares of common stock underlying the option vest on the first anniversary of the closing of the issuer's initial public offering. The remaining shares underlying the option vest in equal monthly installments thereafter for thirty-six (36) months, on the last day of each such month.

SEC source: 0001104659-21-125525 · tm2129556-2_4seq1.xml · derivative · entry 3

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,509

Underlying: Common Stock · 290,509 shares

Expires 2031-10-12

F2 · derivative.exercise_date: - 25% of the shares of common stock underlying the option vest on the closing of the issuer's initial public offering. The remaining shares underlying the option vest in equal monthly installments thereafter for thirty-six (36) months, on the last day of each such month.

SEC source: 0001104659-21-125525 · tm2129556-2_4seq1.xml · derivative · entry 2

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,509

Underlying: Common Stock · 290,509 shares

Expires 2031-10-12

F2 · derivative.exercise_date: - 25% of the shares of common stock underlying the option vest on the closing of the issuer's initial public offering. The remaining shares underlying the option vest in equal monthly installments thereafter for thirty-six (36) months, on the last day of each such month.

SEC source: 0001104659-21-125525 · tm2129556-2_4seq1.xml · derivative · entry 1

Ricciardi Lisa · CIK 0001418200 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 547,965

Underlying: Common Stock · 547,965 shares

Expires 2030-06-01

F1 · derivative.exercise_date: - 25% of the shares of common stock underlying the option vested on June 1, 2021. The remaining shares underlying the option vest in equal monthly installments thereafter for thirty-six (36) months, on the last day of each such month.