Samuel P. Wertheimer - Jan 26, 2023 Form 4 Insider Report for Apexigen, Inc. (APGN)

Role
Director
Signature
/s/ Francis Sarena, by power of attorney
Stock symbol
APGN
Transactions as of
Jan 26, 2023
Transactions value $
$0
Form type
4
Date filed
5/23/2023, 07:38 PM
Previous filing
Oct 3, 2022
Next filing
Aug 25, 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APGN Common Stock Other $0 +146K $0.00 146K Jan 26, 2023 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction APGN Common Stock Warrants (right to buy) Other $0 +12.4K $0.00 12.4K Jan 26, 2023 Common Stock 12.4K $11.50 Direct F1
transaction APGN Common Stock Warrants (right to buy) Other $0 +1.85K $0.00 1.85K Feb 21, 2023 Common Stock 1.85K $1.75 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents the receipt of shares and warrants pursuant to an in-kind distribution by Brookline Capital Holdings, LLC without consideration to its partners.
F2 The warrants were acquired pursuant to a transfer not for value from Brookline Capital Markets, for which the reporting person serves as a Managing Partner and Senior Scientific Advisor.