Key facts
- This page summarizes William E. Duke's Form 4 filing for Apexigen, Inc..
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 25 Aug 2023, 18:42.
William E. Duke - 23 Aug 2023 Form 4 Insider Report for Apexigen, Inc.
- Reporting relationship
- Chief Financial Officer
- Issuer ticker
- N/A
- Reported as of
- 23 Aug 2023
- Net transaction value
- -$10,173
- SEC form
- 4
- Accepted by SEC
- 25 Aug 2023, 18:42:49 UTC
- Prior SEC filing
- 23 Jun 2023
- Next SEC filing
- 05 Sep 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Francis Sarena, by power of attorney
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
William E. Duke filed Form 4 for Apexigen, Inc. on 25 Aug 2023.
Change
- Previous filing in this sequence was filed on 23 Jun 2023.
- Current net transaction value: -$10,173.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
APGN
transaction
Common Stock
Tax liability
- Transaction value
- $10,173
- Shares
- -26,416
- Change %
- -17%
- Price
- $0.3851
- Shares after
- 128,001
- Date
- 23 Aug 2023
- Ownership
- Direct
- Footnotes
- F1
APGN
transaction
Common Stock
Disposed to Issuer
- Transaction value
- Shares
- -128,001
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 23 Aug 2023
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
APGN
transaction
Derivative
Employee Stock Option (right to buy)
Disposed to Issuer
- Transaction value
- Shares
- -269,848
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 23 Aug 2023
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 269,848
- Exercise price
- $2.46
- Footnotes
- F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
William E. Duke is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 3 footnotes
Footnote F1
The shares were withheld to satisfy the reporting person's tax liability in connection with the vesting of restricted stock units.
Footnote F2
Pursuant to an Agreement and Plan of Merger, dated as of May 23, 2023 (the "Merger Agreement"), by and among the Issuer, Pyxis Oncology, Inc. ("Pyxis"), and Ascent Merger Sub Corp., at the effective time of the merger (the "Effective Time"), each share of Issuer common stock was exchanged for 0.1725 shares of Pyxis common stock and rounded down to the nearest whole share.
Footnote F3
One-fourth of the shares vested on June 6, 2023 and 1/48th of the shares vest monthly thereafter. Pursuant to the Merger Agreement, at the Effective Time, the option was assumed by Pyxis and converted into an option to purchase 46,547 shares of Pyxis common stock at an exercise price of $14.27 per share.