0000912282-24-000780.txt : 20241112 0000912282-24-000780.hdr.sgml : 20241112 20241112185116 ACCESSION NUMBER: 0000912282-24-000780 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20241112 FILED AS OF DATE: 20241112 DATE AS OF CHANGE: 20241112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAWKELL KENNETH ANTHONY CENTRAL INDEX KEY: 0002029580 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-42403 FILM NUMBER: 241450535 MAIL ADDRESS: STREET 1: 750 WEST PENDER STREET SUITE 1200 CITY: VANCOUVER STATE: A1 ZIP: V6C 2T8 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alpha Cognition Inc. CENTRAL INDEX KEY: 0001655923 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: A1 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1200-750 W PENDER ST CITY: VANCOUVER STATE: A1 ZIP: V6C 2T8 BUSINESS PHONE: (858) 344-4375 MAIL ADDRESS: STREET 1: 20073 FIDDLERS GREEN CITY: FRISCO STATE: TX ZIP: 75036 FORMER COMPANY: FORMER CONFORMED NAME: Neurodyn Cognition Inc. DATE OF NAME CHANGE: 20151016 3 1 form3.xml X0206 3 2024-11-12 0 0001655923 Alpha Cognition Inc. ACOG 0002029580 CAWKELL KENNETH ANTHONY C/O ALPHA COGNITION INC. 1200 - 750 WEST PENDER STREET VANCOUVER A1 V6C 2T8 BRITISH COLUMBIA, CANADA true Common Shares 100499 D Common Shares 50000 I by Cawbro Holdings Ltd. Common Shares 67977 I by CMI Cornerstone Management Corp. Perforrmance Shares 0.25 2017-12-31 2027-12-31 Common Shares 27642 D Performance Shares 0.25 2018-09-01 2028-08-31 Common Shares 60000 D Performance Shares 0.25 2019-06-01 2029-05-31 Common Shares 40000 D Performance Shares 0.25 2020-06-30 2026-02-01 Common Shares 12000 D Common Share Options 4.12 2023-06-08 2033-06-08 Common Shares 13200 D Warrants 7.75 2024-01-19 2027-01-19 Common Shares 4000 D Class B Series A Preferred Shares 0 Common Shares 80000 I by CMI Cornerstone Management Corp. The reporting person disclaims beneficial ownership of these securities except to the extent of his 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. Options with performance criteria; fully vested. 12.5% vested on June 8, 2023, and the remaining 87.5% vests in equal monthly installments until January 30, 2026. Converted from Canadian exercise price of C$4.12 at C$1.3358=USD$1.00. The Class B Preferred Series A Shares are convertible at any time, at the holder's election, on a one-for-one basis, and will convert automatically upon certain events as described in the Issuer's Form S-1 registration statement. The Class B Preferred Series A Shares do not expire. /s/ Cawkell Kenneth Anthony 2024-11-12