0001209191-22-053342.txt : 20221011 0001209191-22-053342.hdr.sgml : 20221011 20221011165025 ACCESSION NUMBER: 0001209191-22-053342 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221007 FILED AS OF DATE: 20221011 DATE AS OF CHANGE: 20221011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Duke William E. CENTRAL INDEX KEY: 0001636135 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39488 FILM NUMBER: 221304583 MAIL ADDRESS: STREET 1: C/O VALERITAS, INC., 750 ROUTE 202 SOUTH STREET 2: SUITE 600 CITY: BRIDGEWATER STATE: NJ ZIP: 08807 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: 75 SHOREWAY ROAD, SUITE C CITY: SAN CARLOS STATE: CA ZIP: 94070 BUSINESS PHONE: 650.931.6236 MAIL ADDRESS: STREET 1: 75 SHOREWAY 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 X0306 4 2022-10-07 0 0001814140 Apexigen, Inc. APGN 0001636135 Duke William E. C/O APEXIGEN, INC. 75 SHOREWAY ROAD, SUITE C SAN CARLOS CA 94070 0 1 0 0 Chief Financial Officer Common Stock 2022-10-07 4 A 0 30685 0.00 A 30685 D Employee Stock Option (right to buy) 2.46 2022-10-07 4 A 0 269848 0.00 A 2032-10-07 Common Stock 269848 269848 D The shares are represented by restricted stock units, or RSUs, which vest in two equal installments on December 15, 2022 and June 15, 2023. One-fourth of the shares vest on June 6, 2023 and 1/48th of the shares vest monthly thereafter. /s/ Francis Sarena, by power of attorney 2022-10-11