Apexigen, Inc. | SEC Filing

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SEC FORM 3 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

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1. Name and Address of Reporting Person^*

Wong Amy

(Last)

(First)

(Middle)

C/O APEXIGEN, INC.

75 SHOREWAY ROAD, SUITE C

(Street)

SAN CARLOS

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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP, Finance and Operations

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)

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Employee Stock Option (right to buy)	⁽¹⁾	05/09/2024	Common Stock	22,333	1.27	D
Employee Stock Option (right to buy)	⁽¹⁾	06/25/2025	Common Stock	8,708	1.47	D
Employee Stock Option (right to buy)	⁽¹⁾	10/30/2025	Common Stock	230,507	1.66	D
Employee Stock Option (right to buy)	⁽¹⁾	12/16/2026	Common Stock	15,367	2.25	D
Employee Stock Option (right to buy)	⁽¹⁾	02/17/2027	Common Stock	13,830	2.25	D
Employee Stock Option (right to buy)	⁽¹⁾	05/22/2028	Common Stock	71,159	3.62	D
Employee Stock Option (right to buy)	⁽²⁾	02/14/2029	Common Stock	28,685	4.59	D
Employee Stock Option (right to buy)	⁽³⁾	02/20/2030	Common Stock	25,611	4.59	D
Employee Stock Option (right to buy)	⁽⁴⁾	02/12/2031	Common Stock	15,366	4.59	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 March 14, 2019.

3. The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2020.

4. The shares subject to the option vest in 48 equal monthly installments beginning on February 1, 2021.

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.

                               POWER OF ATTORNEY

The undersigned, as a Section 16 reporting person of Apexigen, Inc. (the
"Company"), hereby constitutes and appoints William Duke, Jr. and
Francis Sarena, and each of them, as the undersigned's true and lawful
attorney-in-fact to:

1.     complete and execute Forms 3, 4 and 5 and other forms and all amendments
thereto as such attorney-in-fact shall in his discretion determine to be
required or advisable pursuant to Section 16 of the Securities Exchange Act of
1934 (as amended) and the rules and regulations promulgated thereunder, or any
successor laws and regulations, as a consequence of the undersigned's ownership,
acquisition or disposition of securities of the Company; and

2.     do all acts necessary in order to file such forms with the SEC, any
securities exchange or national association, the Company and such other person
or agency as the attorneys-in-fact shall deem appropriate.

The undersigned hereby ratifies and confirms all that said attorneys-in-fact and
agents shall do or cause to be done by virtue hereof.  The undersigned
acknowledges that the foregoing attorneys- in-fact, in serving in such capacity
at the request of the undersigned, are not assuming, nor is the Company
assuming, any of the undersigned's responsibilities to comply with Section 16 of
the Securities Exchange Act of 1934 (as amended).

This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 18th day of July, 2022.


Signature:  /s/ Amy Wong
         ----------------------------------------

Print Name: Amy Wong