SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Yang Xiaodong

(Last) (First) (Middle)
C/O AGEXIGEN, INC.
75 SHOREWAY ROAD, SUITE C

(Street)
SAN CARLOS CA 94070

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/29/2022
3. Issuer Name and Ticker or Trading Symbol
Apexigen, Inc. [ APGN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 497,904 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (right to buy) (1) 10/29/2023 Common Stock 219,950 $1.27 D
Employee Stock Option (right to buy) (1) 06/25/2025 Common Stock 20,489 $1.47 D
Employee Stock Option (right to buy) (1) 10/30/2025 Common Stock 461,015 $1.66 D
Employee Stock Option (right to buy) (1) 12/16/2026 Common Stock 35,856 $2.25 D
Employee Stock Option (right to buy) (1) 02/17/2027 Common Stock 30,734 $2.25 D
Employee Stock Option (right to buy) (2) 05/22/2028 Common Stock 295,978 $3.62 D
Employee Stock Option (right to buy) (3) 02/14/2029 Common Stock 99,373 $6.54 D
Employee Stock Option (right to buy) (4) 02/20/2030 Common Stock 12,296 $7.03 D
Employee Stock Option (right to buy) (5) 02/20/2030 Common Stock 79,906 $4.59 D
Employee Stock Option (right to buy) (6) 02/12/2031 Common Stock 38,417 $4.59 D
Warrant (right to buy) (7) 07/29/2027 Common Stock 10,000 $11.5 D
Explanation of Responses:
1. The shares subject to the option are fully vested and immediately exercisable.
2. The shares subject to the option vest in 48 equal monthly installments beginning on June 22, 2018.
3. The shares subject to the option vest in 48 equal monthly installments beginning on March 14, 2019.
4. The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2020.
5. The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2020.
6. The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2021.
7. The shares underlying the warrant become exercisable on August 28, 2022.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Francis Sarena, by power of attorney 08/08/2022
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.