0001209191-23-047446.txt : 20230825 0001209191-23-047446.hdr.sgml : 20230825 20230825192910 ACCESSION NUMBER: 0001209191-23-047446 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230823 FILED AS OF DATE: 20230825 DATE AS OF CHANGE: 20230825 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dupont Jakob CENTRAL INDEX KEY: 0001553335 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39488 FILM NUMBER: 231209775 MAIL ADDRESS: STREET 1: C/O ONCOMED PHARMACEUTICALS, INC. STREET 2: 800 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 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 X0508 4 2023-08-23 1 0001814140 Apexigen, Inc. APGN 0001553335 Dupont Jakob C/O APEXIGEN, INC. 900 INDUSTRIAL ROAD, SUITE C SAN CARLOS CA 94070 1 0 0 0 0 Stock Option (right to buy) 4.59 2023-08-23 4 D 0 34084 D 2030-09-01 Common Stock 34084 0 D Stock Option (right to buy) 4.59 2023-08-23 4 D 0 20489 D 2031-02-12 Common Stock 20489 0 D Stock Option (right to buy) 2.65 2023-08-23 4 D 0 100000 D 2032-09-29 Common Stock 100000 0 D The shares subject to the option vest in 48 equal monthly installments beginning on September 10, 2020. Pursuant to an Agreement and Plan of Merger, dated as of May 23, 2023 (the "Merger Agreement"), by and among the Issuer, Pyxis Oncology, Inc. ("Pyxis"), and Ascent Merger Sub Corp., at the effective time of the merger (the "Effective Time"), the option was assumed by Pyxis and converted into an option to purchase 5,879 shares of Pyxis common stock at an exercise price of $26.61 per share. In accordance with the reporting person's equity award agreement, vesting of the unvested shares underlying the option accelerated in full at the Effective Time. This exercise price was reported incorrectly as $4.49 in a Form 3/A filed on August 24, 2023. The shares subject to the option vest upon the achievement of certain performance metrics. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 3,534 shares of Pyxis common stock at an exercise price of $26.61 per share. In accordance with the reporting person's equity award agreement, vesting of the unvested shares underlying the option accelerated in full at the Effective Time. The shares subject to the option vest in three equal annual installments beginning on July 29, 2023. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 17,250 shares of Pyxis common stock at an exercise price of $15.37 per share. In accordance with the reporting person's equity award agreement, vesting of the unvested shares underlying the option accelerated in full at the Effective Time. /s/ Francis Sarena, by power of attorney 2023-08-25