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