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