CING

SEC source: 0001641172-25-016180 · ownership.xml · derivative · entry 1

ROBERTS JOHN A · CIK 0001249872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2035-06-20

F1 · derivative.exercise_date: The option vests on the earlier of (i) the one-year anniversary of the date of grant and (ii) the date of the Cingulate Inc. 2026 annual meeting of stockholders.

SEC source: 0001641172-25-017407 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2035-03-31

F1 · date: The option was granted pursuant to the terms of Dr. Silva's Employment Agreement, as amended.

SEC source: 0001493152-25-007757 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,630

Underlying: Common Stock · 17,630 shares

Expires 2035-02-18

F1 · derivative.exercise_date: The option vests as follows: 25% on the one-year anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 36-month period following the initial vesting date.

SEC source: 0001493152-25-007760 · ownership.xml · derivative · entry 1

Schaffer Shane J. · CIK 0001883254 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,489

Underlying: Common Stock · 70,489 shares

Expires 2035-02-18

F1 · derivative.exercise_date: The option vests as follows: 25% on the one-year anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 36-month period following the initial vesting date.

SEC source: 0001493152-25-007761 · ownership.xml · derivative · entry 1

Callahan Jennifer L. · CIK 0001883523 · SVP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,140

Underlying: Common Stock · 21,140 shares

Expires 2035-02-18

F1 · derivative.exercise_date: The option vests as follows: 25% on the one-year anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 36-month period following the initial vesting date.

SEC source: 0001493152-25-007758 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,630

Underlying: Common Stock · 17,630 shares

Expires 2035-02-18

F1 · derivative.exercise_date: The option vests as follows: 25% on the one-year anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 36-month period following the initial vesting date.

SEC source: 0001493152-25-007759 · ownership.xml · derivative · entry 1

Myers Laurie · CIK 0001883920 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,630

Underlying: Common Stock · 17,630 shares

Expires 2035-02-18

F1 · derivative.exercise_date: The option vests as follows: 25% on the one-year anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 36-month period following the initial vesting date.

SEC source: 0001493152-25-003289 · ownership.xml · derivative · entry 1

Schaffer Shane J. · CIK 0001883254 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,638

Underlying: Common Stock · 27,638 shares

Expires 2035-01-17

F1 · date: The option was granted for a portion of Mr. Schaffer's 2024 bonus.

SEC source: 0001493152-25-003291 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,748

Underlying: Common Stock · 2,748 shares

Expires 2035-01-17

F1 · date: The option was granted for a portion of Mr. Silva's 2024 bonus.

SEC source: 0001493152-25-003292 · ownership.xml · derivative · entry 1

Callahan Jennifer L. · CIK 0001883523 · SVP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,539

Underlying: Common Stock · 11,539 shares

Expires 2035-01-17

F1 · date: The option was granted for a portion of Ms. Callahan's 2024 bonus.

SEC source: 0001493152-25-003290 · ownership.xml · derivative · entry 1

Myers Laurie · CIK 0001883920 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,319

Underlying: Common Stock · 9,319 shares

Expires 2035-01-17

F1 · date: The option was granted for a portion of Ms. Myers' 2024 bonus.

SEC source: 0001493152-25-003288 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,748

Underlying: Common Stock · 2,748 shares

Expires 2035-01-17

F1 · date: The option was granted for a portion of Mr. Bram's 2024 bonus.

SEC source: 0001493152-25-001276 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-12-31

F1 · date: The option was granted pursuant to the terms of Dr. Silva's Employment Agreement, as amended.

SEC source: 0001493152-25-001274 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-12-31

F1 · date: The option was granted pursuant to the terms of Mr. Bram's Employment Agreement, as amended.

SEC source: 0001493152-24-039067 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-09-30

F1 · date: The option was granted pursuant to the terms of Dr. Silva's Employment Agreement, as amended.

SEC source: 0001493152-24-039066 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-09-30

F1 · date: The option was granted pursuant to the terms of Mr. Bram's Employment Agreement, as amended.

SEC source: 0001493152-24-033196 · ownership.xml · nonDerivative · entry 1

Myers Laurie · CIK 0001883920 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: The number of shares reflect the 1-for-20 and the 1-for-12 reverse stock splits of the Issuer's issued and outstanding shares of common stock, which became effective on November 30, 2023 and August 9, 2024, respectively.

F1 · balance_after: The number of shares reflect the 1-for-20 and the 1-for-12 reverse stock splits of the Issuer's issued and outstanding shares of common stock, which became effective on November 30, 2023 and August 9, 2024, respectively.

SEC source: 0001493152-24-026100 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-06-28

F1 · date: The option was granted pursuant to the terms of Dr. Silva's Employment Agreement, as amended.

SEC source: 0001493152-24-026099 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-06-28

F1 · date: The option was granted pursuant to the terms of Mr. Bram's Employment Agreement, as amended.

SEC source: 0001493152-24-023767 · ownership.xml · derivative · entry 3

Lawrence Bryan Jay · CIK 0002011767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-12

F3 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023773 · ownership.xml · derivative · entry 2

Werth Peter J. · CIK 0001883257 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-12

F2 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023769 · ownership.xml · derivative · entry 3

ROBERTS JOHN A · CIK 0001249872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-12

F3 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023765 · ownership.xml · derivative · entry 3

Ervin Jeffrey S · CIK 0001762163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-12

F3 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023767 · ownership.xml · derivative · entry 2

Lawrence Bryan Jay · CIK 0002011767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,125

Underlying: Common Stock · 14,125 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F4 · price: The option was issued to the reporting person in lieu of cash retainer fees of $28,250.

F3 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023767 · ownership.xml · derivative · entry 1

Lawrence Bryan Jay · CIK 0002011767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares on the twelve-month anniversary of the date of grant.

SEC source: 0001493152-24-023771 · ownership.xml · derivative · entry 1

Schaffer Shane J. · CIK 0001883254 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,677

Underlying: Common Stock · 217,677 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-023773 · ownership.xml · derivative · entry 1

Werth Peter J. · CIK 0001883257 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,926

Underlying: Common Stock · 6,926 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F3 · price: The option was issued to the reporting person in lieu of cash retainer fees of $13,852.

F2 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023772 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,324

Underlying: Common Stock · 63,324 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-023766 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,324

Underlying: Common Stock · 63,324 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-023769 · ownership.xml · derivative · entry 2

ROBERTS JOHN A · CIK 0001249872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,750

Underlying: Common Stock · 14,750 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F4 · price: The option was issued to the reporting person in lieu of cash retainer fees of $29,500.

F3 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023769 · ownership.xml · derivative · entry 1

ROBERTS JOHN A · CIK 0001249872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares on the twelve-month anniversary of the date of grant.

SEC source: 0001493152-24-023768 · ownership.xml · derivative · entry 1

Callahan Jennifer L. · CIK 0001883523 · SVP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,986

Underlying: Common Stock · 94,986 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-023770 · ownership.xml · derivative · entry 1

Myers Laurie · CIK 0001883920 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,944

Underlying: Common Stock · 98,944 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-023765 · ownership.xml · derivative · entry 2

Ervin Jeffrey S · CIK 0001762163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,875

Underlying: Common Stock · 13,875 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F4 · price: The option was issued to the reporting person in lieu of cash retainer fees of $27,750.

F3 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-023765 · ownership.xml · derivative · entry 1

Ervin Jeffrey S · CIK 0001762163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-03-04

F1 · date: The stock option grant was approved by Cingulate Inc.'s board of directors on March 4, 2024, subject to stockholder approval of Amendment No.1 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Amendment"). Cingulate's stockholders approved the Amendment on June 11, 2024.

F2 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares on the twelve-month anniversary of the date of grant.

SEC source: 0001493152-24-014504 · ownership.xml · derivative · entry 5

Werth Peter J. · CIK 0001883257 · Director · 10% owner

Werth Family Investment Associates LLC · CIK 0001885004 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Werth Family Investment Associates LLC

Disclosed balance after: 0

Underlying: Common Stock · 694,096 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_date: 687,043 of the pre-funded warrants were issued and immediately exercisable on January 25, 2024, and 7,053 of the pre-funded warrants were issued and immediately exercisable on March 25, 2024.

F3 · derivative.expiration_date: The pre-funded warrants have no expiration date.

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

SEC source: 0001493152-24-014504 · ownership.xml · derivative · entry 4

Werth Peter J. · CIK 0001883257 · Director · 10% owner

Werth Family Investment Associates LLC · CIK 0001885004 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Werth Family Investment Associates LLC

Disclosed balance after: 0

Underlying: Common Stock · 341,912 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 number of pre-funded warrants and shares and the exercise price reflect the 1-for-20 reverse stock split of the Issuer's issued and outstanding shares of common stock, which became effective on November 30, 2023.

F2 · shares: The number of pre-funded warrants and shares and the exercise price reflect the 1-for-20 reverse stock split of the Issuer's issued and outstanding shares of common stock, which became effective on November 30, 2023.

F3 · derivative.expiration_date: The pre-funded warrants have no expiration date.

F2 · derivative.underlying_shares: The number of pre-funded warrants and shares and the exercise price reflect the 1-for-20 reverse stock split of the Issuer's issued and outstanding shares of common stock, which became effective on November 30, 2023.

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

SEC source: 0001493152-24-014504 · ownership.xml · nonDerivative · entry 2

Werth Peter J. · CIK 0001883257 · Director · 10% owner

Werth Family Investment Associates LLC · CIK 0001885004 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Werth Family Investment Associates LLC

Disclosed balance after: 1,175,925

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

SEC source: 0001493152-24-014504 · ownership.xml · nonDerivative · entry 1

Werth Peter J. · CIK 0001883257 · Director · 10% owner

Werth Family Investment Associates LLC · CIK 0001885004 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Werth Family Investment Associates LLC

Disclosed balance after: 481,829

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

SEC source: 0001493152-24-012567 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-03-29

F1 · date: The option was granted pursuant to the terms of Dr. Silva's Employment Agreement, as amended.

SEC source: 0001493152-24-012568 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2034-03-29

F1 · date: The option was granted pursuant to the terms of Mr. Bram's Employment Agreement, as amended.

SEC source: 0001493152-24-011578 · ownership.xml · derivative · entry 1

Werth Peter J. · CIK 0001883257 · Director · 10% owner

Werth Family Investment Associates LLC · CIK 0001885004 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Werth Family Investment Associates LLC

Disclosed balance after: 694,096

Underlying: Common Stock · 7,053 shares

Expires not disclosed

F1 · kind: On January 25, 2024, the Issuer and Cingulate Therapeutics LLC ("CTx"), a wholly-owned subsidiary of the Issuer, entered into a Note Conversion Agreement with Werth Family Investment Associates LLC ("WFIA"), pursuant to which WFIA agreed to convert the remaining principal amount plus all accrued interest thereon (other than the Outstanding Interest (as defined below)), or $3,287,500, under the Amended and Restated Promissory Note, dated May 9, 2023 (the "Note"), that CTx issued to WFIA into pre-funded warrants to purchase 687,043 shares of common stock of the Issuer, at a conversion price per pre-funded warrant of $4.785. Due to a calculation error, $33,750 of interest (the "Outstanding Interest") on the remaining principal amount of the Note remained as of January 25, 2024. The Outstanding Interest was converted into additional pre-funded warrants to purchase 7,053 shares of common stock of the Issuer at a conversion price per pre-funded warrant of $4.785.

F1 · price: On January 25, 2024, the Issuer and Cingulate Therapeutics LLC ("CTx"), a wholly-owned subsidiary of the Issuer, entered into a Note Conversion Agreement with Werth Family Investment Associates LLC ("WFIA"), pursuant to which WFIA agreed to convert the remaining principal amount plus all accrued interest thereon (other than the Outstanding Interest (as defined below)), or $3,287,500, under the Amended and Restated Promissory Note, dated May 9, 2023 (the "Note"), that CTx issued to WFIA into pre-funded warrants to purchase 687,043 shares of common stock of the Issuer, at a conversion price per pre-funded warrant of $4.785. Due to a calculation error, $33,750 of interest (the "Outstanding Interest") on the remaining principal amount of the Note remained as of January 25, 2024. The Outstanding Interest was converted into additional pre-funded warrants to purchase 7,053 shares of common stock of the Issuer at a conversion price per pre-funded warrant of $4.785.

F2 · derivative.expiration_date: The pre-funded warrants have no expiration date and are exercisable immediately, to the extent that after giving effect to such exercise the reporting person and its affiliates would beneficially own, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, no more than 19.99% of the outstanding shares of common stock of the Issuer.

F3 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-24-009086 · ownership.xml · derivative · entry 1

Lawrence Bryan Jay · CIK 0002011767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares on the twelve-month anniversary of the date of grant.

SEC source: 0001493152-24-009093 · ownership.xml · derivative · entry 1

Schaffer Shane J. · CIK 0001883254 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,323

Underlying: Common Stock · 57,323 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-009091 · ownership.xml · derivative · entry 1

Werth Peter J. · CIK 0001883257 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,824

Underlying: Common Stock · 1,824 shares

Expires 2034-03-04

F2 · price: The option was issued to the reporting person in lieu of cash retainer fees of $3,648.

F1 · derivative.exercise_date: The option vests on the one-year anniversary of the date of grant.

SEC source: 0001493152-24-009094 · ownership.xml · derivative · entry 1

Silva Raul R. · CIK 0001883270 · EVP and CSO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,676

Underlying: Common Stock · 16,676 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-009092 · ownership.xml · derivative · entry 1

ROBERTS JOHN A · CIK 0001249872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares on the twelve-month anniversary of the date of grant.

SEC source: 0001493152-24-009088 · ownership.xml · derivative · entry 1

Ervin Jeffrey S · CIK 0001762163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares on the twelve-month anniversary of the date of grant.

SEC source: 0001493152-24-009090 · ownership.xml · derivative · entry 1

Brams Matthew · CIK 0001884361 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,676

Underlying: Common Stock · 16,676 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.

SEC source: 0001493152-24-009089 · ownership.xml · derivative · entry 1

Myers Laurie · CIK 0001883920 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,056

Underlying: Common Stock · 26,056 shares

Expires 2034-03-04

F1 · derivative.exercise_date: The option vests as follows: 50% on the six-month anniversary of the date of grant and the remaining shares in substantially equal monthly installments over the 30-month period following the initial vesting date.