Apexigen, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 74 rows, 74 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-08-24: Reporting owner Dupont Jakob; Form 3/A; Security Stock Option (right to buy); Transaction Holding.
- 2023-08-23: Reporting owner Zabrowksi Dan; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-08-23: Reporting owner Wertheimer Samuel P; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-08-23: Reporting owner Smith Scott Andrew; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-08-24 holding as of filing | Dupont Jakob Director | 3/A | Stock Option (right to buy) Derivative · Direct | Holding | $4.49 exercise price | 2023-08-24 | ||
| 2023-08-23 | Zabrowksi Dan Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | Wertheimer Samuel P Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | Smith Scott Andrew Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,084 0 owned after | $6.94 exercise price | 2023-08-25 | |
| 2023-08-23 | Smith Scott Andrew Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | RINGOLD GORDON Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,084 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | RINGOLD GORDON Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | Chhabra Meenu Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | Dupont Jakob Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,084 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Dupont Jakob Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,489 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Dupont Jakob Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | CROSS HERB Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,084 0 owned after | $6.94 exercise price | 2023-08-25 | |
| 2023-08-23 | CROSS HERB Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $2.65 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,333 0 owned after | $1.27 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,708 0 owned after | $1.47 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −230,507 0 owned after | $1.66 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,367 0 owned after | $2.25 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,830 0 owned after | $2.25 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −71,159 0 owned after | $3.62 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −28,685 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,611 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,366 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −76,800 0 owned after | $2.46 exercise price | 2023-08-25 | |
| 2023-08-23 | Sarena Francis Willard Officer (President and COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −269,847 0 owned after | $4.79 exercise price | 2023-08-25 | |
| 2023-08-23 | Hsu Frank J. Officer (Chief Medical Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −224,872 0 owned after | $4.79 exercise price | 2023-08-25 | |
| 2023-08-23 | Hsu Frank J. Officer (Chief Medical Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,000 0 owned after | $2.46 exercise price | 2023-08-25 | |
| 2023-08-23 | Duke William E. Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −269,848 0 owned after | $2.46 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −219,950 0 owned after | $1.27 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,489 0 owned after | $1.47 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −461,015 0 owned after | $1.66 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −35,856 0 owned after | $2.25 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,734 0 owned after | $2.25 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −295,978 0 owned after | $3.62 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −99,373 0 owned after | $6.54 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,296 0 owned after | $7.03 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −79,906 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −38,417 0 owned after | $4.59 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −305,000 0 owned after | $2.46 exercise price | 2023-08-25 | |
| 2022-10-07 | Wong Amy Officer (SVP, Finance and Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +76,800 76,800 owned after | $2.46 exercise price | 2022-10-11 | |
| 2022-10-07 | Hsu Frank J. Officer (Chief Medical Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,000 27,000 owned after | $2.46 exercise price | 2022-10-11 | |
| 2022-10-07 | Duke William E. Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +269,848 269,848 owned after | $2.46 exercise price | 2022-10-11 | |
| 2022-10-07 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +305,000 305,000 owned after | $2.46 exercise price | 2022-10-11 | |
| 2022-09-29 | Zabrowksi Dan Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-09-29 | Wertheimer Samuel P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-09-29 | Smith Scott Andrew Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-09-29 | RINGOLD GORDON Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-09-29 | Chhabra Meenu Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-09-29 | Dupont Jakob Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-09-29 | CROSS HERB Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.65 exercise price | 2022-10-03 | |
| 2022-08-08 holding as of filing | Smith Scott Andrew Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $6.94 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | RINGOLD GORDON Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Dupont Jakob Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | CROSS HERB Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $6.94 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.27 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.47 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.66 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.25 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.25 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.62 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Wong Amy Officer (SVP, Finance and Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Sarena Francis Willard Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.79 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Hsu Frank J. Officer (Chief Medical Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.79 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.27 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.47 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.66 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.25 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.25 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.62 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $6.54 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $7.03 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.59 exercise price | 2022-08-08 |