Apexigen, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-08-23: Reporting owner Wertheimer Samuel P; Form 4; Security Warrants (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 Warrants (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-08-23: Reporting owner RINGOLD GORDON; Form 4; Security Warrants (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-08-23: Reporting owner Yang Xiaodong; Form 4; Security Warrant (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 |
|---|---|---|---|---|---|---|---|---|
| 2023-08-23 | Wertheimer Samuel P Director | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,383 0 owned after | $11.50 exercise price | 2023-08-25 | |
| 2023-08-23 | Wertheimer Samuel P Director | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,845 0 owned after | $1.75 exercise price | 2023-08-25 | |
| 2023-08-23 | RINGOLD GORDON Director | 4 | Warrants (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,000 0 owned after | $11.50 exercise price | 2023-08-25 | |
| 2023-08-23 | Yang Xiaodong Director, Officer (Chief Executive Officer) | 4 | Warrant (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $11.50 exercise price | 2023-08-25 | |
| 2023-02-21 | Wertheimer Samuel P Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,845 1,845 owned after | $1.75 exercise price | 2023-05-23 | |
| 2023-01-26 | Wertheimer Samuel P Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +12,383 12,383 owned after | $11.50 exercise price | 2023-05-23 | |
| 2022-08-08 holding as of filing | RINGOLD GORDON Director | 3 | Warrants (right to buy) Derivative · Direct | Holding | $11.50 exercise price | 2022-08-08 | ||
| 2022-08-08 holding as of filing | Yang Xiaodong Director, Officer (Chief Executive Officer) | 3 | Warrant (right to buy) Derivative · Direct | Holding | $11.50 exercise price | 2022-08-08 |