0001493152-24-014504.txt : 20240412 0001493152-24-014504.hdr.sgml : 20240412 20240412214758 ACCESSION NUMBER: 0001493152-24-014504 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240411 FILED AS OF DATE: 20240412 DATE AS OF CHANGE: 20240412 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Werth Peter J. CENTRAL INDEX KEY: 0001883257 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40874 FILM NUMBER: 24842987 MAIL ADDRESS: STREET 1: C/O CINGULATE INC. STREET 2: 1901 W. 47TH PLACE CITY: KANSAS CITY STATE: KS ZIP: 66205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Werth Family Investment Associates LLC CENTRAL INDEX KEY: 0001885004 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40874 FILM NUMBER: 24842986 BUSINESS ADDRESS: STREET 1: 1764 LITCHFIELD TURNPIKE, SUITE 202 CITY: WOODBRIDGE STATE: CT ZIP: 06525 BUSINESS PHONE: 203-387-7794 MAIL ADDRESS: STREET 1: 1764 LITCHFIELD TURNPIKE, SUITE 202 CITY: WOODBRIDGE STATE: CT ZIP: 06525 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cingulate Inc. CENTRAL INDEX KEY: 0001862150 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 863825535 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1901 W. 47TH PLACE CITY: KANSAS CITY STATE: KS ZIP: 66205 BUSINESS PHONE: (913) 942-2300 MAIL ADDRESS: STREET 1: 1901 W. 47TH PLACE CITY: KANSAS CITY STATE: KS ZIP: 66205 4 1 ownership.xml X0508 4 2024-04-11 0 0001862150 Cingulate Inc. CING 0001883257 Werth Peter J. C/O CINGULATE INC. 1901 W. 47TH PLACE KANSAS CITY KS 66205 1 0 1 0 0001885004 Werth Family Investment Associates LLC C/O CINGULATE INC. 1901 W. 47TH PLACE KANSAS CITY KS 66205 0 0 1 0 0 Common Stock 2024-04-11 4 M 0 341912 0.002 A 481829 I By Werth Family Investment Associates LLC Common Stock 2024-04-11 4 M 0 694096 0.0001 A 1175925 I By Werth Family Investment Associates LLC Common Stock 1093 D Pre-Funded Warrant (right to buy) 0.002 2024-04-11 4 M 0 341912 0 D 2023-09-08 Common Stock 341912 0 I By Werth Family Investment Associates LLC Pre-Funded Warrant (right to buy) 0.0001 2024-04-11 4 M 0 694096 0 D Common Stock 694096 0 I By Werth Family Investment Associates LLC 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. 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. The pre-funded warrants have no expiration 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. /s/ Shane J. Schaffer, Attorney-in-Fact Peter J. Werth 2024-04-12 /s/ Shane J. Schaffer, Attorney-in-Fact Peter J. Werth, for Werth Family Investment Associates LLC 2024-04-12