0001209191-23-047452.txt : 20230825
0001209191-23-047452.hdr.sgml : 20230825
20230825193702
ACCESSION NUMBER: 0001209191-23-047452
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: Smith Scott Andrew
CENTRAL INDEX KEY: 0001614975
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39488
FILM NUMBER: 231209792
MAIL ADDRESS:
STREET 1: C/O CELGENE CORPORATION
STREET 2: 86 MORRIS AVENUE
CITY: SUMMIT
STATE: NJ
ZIP: 07901
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
0001614975
Smith Scott Andrew
C/O APEXIGEN, INC.
900 INDUSTRIAL ROAD, SUITE C
SAN CARLOS
CA
94070
1
0
0
0
0
Stock Option (right to buy)
6.94
2023-08-23
4
D
0
34084
D
2029-11-08
Common Stock
34084
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 16, 2019. 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 $40.24 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