0001104659-22-119339.txt : 20221116
0001104659-22-119339.hdr.sgml : 20221116
20221116065957
ACCESSION NUMBER: 0001104659-22-119339
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221115
FILED AS OF DATE: 20221116
DATE AS OF CHANGE: 20221116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund III QP, LP
CENTRAL INDEX KEY: 0001791916
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392890
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817.984.9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Memory SPV II, LP
CENTRAL INDEX KEY: 0001666485
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392893
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund II NT, LP
CENTRAL INDEX KEY: 0001728851
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392894
BUSINESS ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-5964
MAIL ADDRESS:
STREET 1: 1401 FOCH STREET, SUITE 140
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund III NT, LP
CENTRAL INDEX KEY: 0001791910
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392889
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817.984.9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Equity Partners III, LP
CENTRAL INDEX KEY: 0001831976
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392892
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-984-9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN
STREET 2: SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BIOS Fund III, LP
CENTRAL INDEX KEY: 0001791917
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392891
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817.984.9197
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cavu Management, LP
CENTRAL INDEX KEY: 0001813270
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392895
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cavu Advisors, LLC
CENTRAL INDEX KEY: 0001813310
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392887
BUSINESS ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
BUSINESS PHONE: 817-381-5370
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kreis Leslie W.
CENTRAL INDEX KEY: 0001813316
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40886
FILM NUMBER: 221392888
MAIL ADDRESS:
STREET 1: 1751 RIVER RUN, SUITE 400
CITY: FORT WORTH
STATE: TX
ZIP: 76107
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: COGNITION THERAPEUTICS INC
CENTRAL INDEX KEY: 0001455365
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2403 SIDNEY STREET
STREET 2: SUITE 261
CITY: PITTSBURGH
STATE: PA
ZIP: 15203
BUSINESS PHONE: 412-481-2210
MAIL ADDRESS:
STREET 1: 2500 WESTCHESTER AVE
CITY: PURCHASE
STATE: NY
ZIP: 10577
FORMER COMPANY:
FORMER CONFORMED NAME: COGNITION THERAPUTICS INC
DATE OF NAME CHANGE: 20090204
4
1
tm2230532-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-11-15
0
0001455365
COGNITION THERAPEUTICS INC
CGTX
0001813316
Kreis Leslie W.
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
1
0
0
0
0001813310
Cavu Advisors, LLC
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001813270
Cavu Management, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001728851
BIOS Fund II NT, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001666485
BIOS Memory SPV II, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001831976
BIOS Equity Partners III, LP
1751 RIVER RUN
SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001791917
BIOS Fund III, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001791916
BIOS Fund III QP, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
0001791910
BIOS Fund III NT, LP
1751 RIVER RUN, SUITE 400
FORT WORTH
TX
76107
0
0
1
0
Common Stock
2022-11-15
5
P
0
E
184270
1.20
A
316038
I
By Bios Fund III NT, LP
Common Stock
2022-11-15
5
P
0
E
1141030
1.20
A
1955677
I
By Bios Fund III QP, LP
Common Stock
2022-11-15
5
P
0
E
174700
1.20
A
299608
I
Bios Fund III, LP
Common Stock
1424014
I
By Bios Memory SPV I, LP
Common Stock
418926
I
By: Bios Fund I, LP
Common Stock
245029
I
By: Bios Fund I QP, LP
Common Stock
78298
I
By: Bios Fund II, LP
Common Stock
255765
I
By: Bios Fund II QP, LP
Common Stock
34238
I
By: Bios Fund II NT, LP
Common Stock
385248
I
By Bios Memory SPV II, LP
Bios Equity Partners, LP ("Bios Equity I") is the general partner of the following entities: Bios Fund I, L.P. ("Bios Fund I"), Bios Fund I QP, L.P. ("Bios Fund I QP") and Bios Memory SPV I, L.P. ("Bios Memory I"). Bios Equity Partners II, LP ("Bios Equity II") is the general partner of the following entities: Bios Fund II, L.P. ("Bios Fund II"), Bios Fund II QP, L.P. ("Bios Fund II QP"), Bios Fund II NT, L.P. ("Bios Fund II NT") and Bios Memory SPV II, L.P. ("Bios Memory II"). Bios Equity Partners III, LP ("Bios Equity III") is the general partner of the following entities: Bios Fund III, LP ("Bios Fund III"), Bios Fund III QP, LP ("Bios Fund III QP") and Bios Fund III NT, LP ("Bios Fund III NT").
Bios Capital Management, LP ("Bios Management") and Cavu Management, LP ("Cavu Management") are the general partners Bios Equity III. Bios Advisors GP, LLC ("Bios Advisors") is the general partner of Bios Management. Cavu Advisors LLC ("Cavu Advisors") is the general partner of Cavu Management. Bios Management and Bios Advisors are entities managed and controlled by Aaron G.L. Fletcher. Cavu Management and Cavu Advisors are entities managed and controlled by Leslie W. Kreis, Jr.
Mr. Kries, Cavu Management, Cavu Advisors, Mr. Fletcher, Bios Management and Bios Advisors each share voting and investment control with respect to the shares held by Bios Fund I, Bios Fund I QP, Bios Memory SPV I, Bios Fund II, Bios Fund II QP, Bios Fund II NT, Bios Memory II, Bios Fund III, Bios Fund III QP and Bios Fund III NT (collectively, the "Bios Equity Entities"). Because of the relationship between Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, Bios Advisors and the Bios Equity Entities, Mr. Kries, Mr. Fletcher, Cavu Management, Bios Management, Cavu Advisors, and Bios Advisors each may be deemed to beneficially own the shares held directly by the Bios Equity Entities.
For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its pecuniary interest therein, if any, and this report shall not be deemed an admission
that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.
This Form 4 is the second of two Forms 4 filed relating to the same event. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting person.
The first Form 4 was filed by Leslie W. Kreis, Jr. as the designated filer.
/s/ Leslie W. Kreis, Jr.
2022-11-16
Cavu Advisors, LLC By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Cavu Management, LP By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Bios Fund II NT, LP By: Bios Equity Partners II, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Bios Memory SPV II, LP By: Bios Equity Partners, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Bios Equity Partners III, LP By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Bios Fund III, LP By: Bios Equity Partners III, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Bios Fund III QP, LP By: Bios Equity Partners III, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16
Bios Fund III NT, LP By: Bios Equity Partners III, LP, its general partner By: Cavu Management, LP, its general partner By: Cavu Advisors, LLC, its general partner By: /s/ Leslie W. Kreis, Jr., Manager
2022-11-16