0001209191-23-031779.txt : 20230523
0001209191-23-031779.hdr.sgml : 20230523
20230523193839
ACCESSION NUMBER: 0001209191-23-031779
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230126
FILED AS OF DATE: 20230523
DATE AS OF CHANGE: 20230523
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wertheimer Samuel P
CENTRAL INDEX KEY: 0001293250
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39488
FILM NUMBER: 23950288
MAIL ADDRESS:
STREET 1: 767 THIRD AVENUE, 30TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Apexigen, Inc.
CENTRAL INDEX KEY: 0001814140
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 851260244
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 900 INDUSTRIAL ROAD, SUITE C
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 650.931.6236
MAIL ADDRESS:
STREET 1: 900 INDUSTRIAL ROAD, SUITE C
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
FORMER COMPANY:
FORMER CONFORMED NAME: Brookline Capital Acquisition Corp.
DATE OF NAME CHANGE: 20200603
4
1
doc4.xml
FORM 4 SUBMISSION
X0407
4
2023-01-26
0
0001814140
Apexigen, Inc.
APGN
0001293250
Wertheimer Samuel P
C/O APEXIGEN, INC.
75 SHOREWAY ROAD, SUITE C
SAN CARLOS
CA
94070
1
0
0
0
0
Common Stock
2023-01-26
4
J
0
146383
0.00
A
146383
D
Common Stock Warrants (right to buy)
11.50
2023-01-26
4
J
0
12383
0.00
A
2022-08-28
2027-07-29
Common Stock
12383
12383
D
Common Stock Warrants (right to buy)
1.75
2023-02-21
4
J
0
1845
0.00
A
2023-08-21
2028-08-21
Common Stock
1845
1845
D
Represents the receipt of shares and warrants pursuant to an in-kind distribution by Brookline Capital Holdings, LLC without consideration to its partners.
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.
/s/ Francis Sarena, by power of attorney
2023-05-23