Rifat Pamukcu - 23 Aug 2022 Form 4 Insider Report for Aprea Therapeutics, Inc. (APRE)

Role
Director
Signature
/s/ John Hamill, as Attorney-in-Fact
Issuer symbol
APRE
Transactions as of
23 Aug 2022
Net transactions value
$0
Form type
4
Filing time
24 Aug 2023, 21:52:29 UTC
Previous filing
01 Aug 2022
Next filing
21 Jun 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction APRE Common Stock Conversion of derivative security $0 +49,280 +627% $0.000000 57,142 23 Aug 2022 Direct F1
transaction APRE Common Stock Award $0 +500 +18% $0.000000 3,356 23 Aug 2023 Direct F2, F3
transaction APRE Common Stock Conversion of derivative security $0 +271,870 $0.000000 14,108 23 Aug 2022 By ZNZ Holdings LLC F1, F3, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction APRE Series A Non-Voting Convertible Preferred Stock Conversion of derivative security $0 -4,928 -100% $0.000000* 0 23 Aug 2022 Common Stock 49,280 $0.000000 Direct F1
transaction APRE Series A Non-Voting Convertible Preferred Stock Conversion of derivative security $0 -27,187 -100% $0.000000* 0 23 Aug 2022 Common Stock 271,870 $0.000000 By ZNZ Holdings LLC F1, F4
transaction APRE Stock Options (Right to Buy) Award $0 +2,000 $0.000000 2,000 23 Aug 2023 Common Stock 2,000 $3.65 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Following stockholder approval at the Issuer's annual stockholder's meeting, each share of Series A Non-Voting Convertible Preferred Stock is convertible into 10 shares of the Issuer's common stock ("Common Stock") at any time at the option of the holder thereof, subject to certain limitations, including that a holder of Series A Non-Voting Convertible Preferred Stock is prohibited from converting shares of Series A Non-Voting Convertible Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than a specified percentage (to be established by the holder between 4.9% and 19.9%) of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion. The Series A Non-Voting Convertible Preferred Stock has no expiration date.
F2 These shares represent restricted stock units which were granted on August 23, 2023, and which will vest and be settled in common stock on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.
F3 Reflects a one-for-20 reverse split, effective as of 5:00 p.m. Eastern Time on February 10, 2023
F4 The Reporting Person serves as Manager Partner of ZNZ Holdings L.L.C.
F5 The option vests in full on August 23, 2024, subject to the reporting person's continued service on the Issuer's board of directors through and including the applicable vesting date and subject to acceleration under certain conditions.

Remarks:

Exhibit 24 - Power of Attorney