Initial Statement of Beneficial Ownership (3)
09 August 2022 - 6:50AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Yang Xiaodong |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/29/2022
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3. Issuer Name and Ticker or Trading Symbol
Apexigen, Inc. [APGN]
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(Last)
(First)
(Middle)
C/O AGEXIGEN, INC., 75 SHOREWAY ROAD, SUITE C |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Executive Officer / |
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(Street)
SAN CARLOS, CA 94070
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 497904 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Option (right to buy) | (1) | 10/29/2023 | Common Stock | 219950 | $1.27 | D | |
| Employee Stock Option (right to buy) | (1) | 6/25/2025 | Common Stock | 20489 | $1.47 | D | |
| Employee Stock Option (right to buy) | (1) | 10/30/2025 | Common Stock | 461015 | $1.66 | D | |
| Employee Stock Option (right to buy) | (1) | 12/16/2026 | Common Stock | 35856 | $2.25 | D | |
| Employee Stock Option (right to buy) | (1) | 2/17/2027 | Common Stock | 30734 | $2.25 | D | |
| Employee Stock Option (right to buy) | (2) | 5/22/2028 | Common Stock | 295978 | $3.62 | D | |
| Employee Stock Option (right to buy) | (3) | 2/14/2029 | Common Stock | 99373 | $6.54 | D | |
| Employee Stock Option (right to buy) | (4) | 2/20/2030 | Common Stock | 12296 | $7.03 | D | |
| Employee Stock Option (right to buy) | (5) | 2/20/2030 | Common Stock | 79906 | $4.59 | D | |
| Employee Stock Option (right to buy) | (6) | 2/12/2031 | Common Stock | 38417 | $4.59 | D | |
| Warrant (right to buy) | (7) | 7/29/2027 | Common Stock | 10000 | $11.50 | D | |
| Explanation of Responses: |
| (1) | The shares subject to the option are fully vested and immediately exercisable. |
| (2) | The shares subject to the option vest in 48 equal monthly installments beginning on June 22, 2018. |
| (3) | The shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2019. |
| (4) | The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2020. |
| (5) | The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2020. |
| (6) | The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2021. |
| (7) | The shares underlying the warrant become exercisable on August 28, 2022. |
Remarks:
Exhibit 24 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Yang Xiaodong
C/O AGEXIGEN, INC.
75 SHOREWAY ROAD, SUITE C
SAN CARLOS, CA 94070 | X |
| Chief Executive Officer |
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Signatures
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| /s/ Francis Sarena, by power of attorney | | 8/8/2022 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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