| Delaware (State or other jurisdiction of incorporation or organization) | | | 84-2246769 (I.R.S. Employer Identification Number) | |
| Large accelerated filer ☐ | | | Accelerated filer ☐ | | | Non-accelerated filer ☒ | | | Smaller reporting company ☒ | |
| | | | | | | | | | Emerging growth company ☒ | |
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Name of Selling Stockholder | | | Shares of Common Stock Beneficially Owned Prior to Private Placement | | | Maximum Number of shares of Common Stock to be Sold Pursuant to this Prospectus(1) | | | Shares of Common Stock to be Beneficially Owned After Private Offering(2) | | |||||||||||||||||||||
| Number | | | Percentage | | | Number | | | Percentage | | ||||||||||||||||||||
AIGH Investment Partners, LP(3) | | | | | 684,399 | | | | | | 11.9% | | | | | | 422,268 | | | | | | 262,131 | | | | | | 4.80% | | |
WVP Emerging Manager Onshore Fund, LLC – Optimized Equity Series(4) | | | | | 50,589 | | | | | | * | | | | | | 31,832 | | | | | | 18,757 | | | | | | * | | |
WVP Emerging Manager Onshore Fund, LLC – AIGH Series(5) | | | | | 176,724 | | | | | | 3.2% | | | | | | 108,312 | | | | | | 68,412 | | | | | | 1.3% | | |
Altium Growth Fund, LP(6) | | | | | 435,684 | | | | | | 7.7% | | | | | | 435,684 | | | | | | — | | | | | | * | | |
DAFNA Lifescience LP(7) | | | | | 197,532 | | | | | | 3.6% | | | | | | 197,532 | | | | | | — | | | | | | * | | |
DAFNA Lifescience Select LP(8) | | | | | 76,816 | | | | | | 1.4% | | | | | | 76,816 | | | | | | — | | | | | | * | | |
Dellora Investments LP(9) | | | | | 411,520 | | | | | | 7.3% | | | | | | 411,520 | | | | | | — | | | | | | * | | |
Worldwide Healthcare Partners LLC(10) | | | | | 274,348 | | | | | | 4.9% | | | | | | 274,348 | | | | | | — | | | | | | * | | |
Nantahala Capital Partners Limited Partnership(11) | | | | | 85,060 | | | | | | 1.6% | | | | | | 85,060 | | | | | | — | | | | | | * | | |
NCP RFM LP(12) | | | | | 72,320 | | | | | | 1.3% | | | | | | 72,320 | | | | | | — | | | | | | * | | |
Blackwell Partners LLC – Series A(13) | | | | | 254,140 | | | | | | 4.6% | | | | | | 254,140 | | | | | | — | | | | | | * | | |
The Red Hook Fund LP(14) | | | | | 54,868 | | | | | | 1.0% | | | | | | 54,868 | | | | | | — | | | | | | * | | |
Lytton-Kambra Foundation(15) | | | | | 274,348 | | | | | | 4.9% | | | | | | 274,348 | | | | | | — | | | | | | * | | |
Sphera Biotech Master Fund LP(16) | | | | | 1,097,392 | | | | | | 17.4% | | | | | | 1,097,392 | | | | | | — | | | | | | * | | |
Sphera Global Healthcare Master Fund(17) | | | | | 274,348 | | | | | | 4.9% | | | | | | 274,348 | | | | | | — | | | | | | * | | |
Stonepine Capital, LP(18) | | | | | 274,348 | | | | | | 4.9% | | | | | | 274,348 | | | | | | — | | | | | | * | | |
Bernd R. Seizinger, M.D., Ph.D.(19) | | | | | 42,940 | | | | | | * | | | | | | 13,720 | | | | | | 29,220 | | | | | | * | | |
Daniel E. Levy(20) | | | | | 4,000 | | | | | | * | | | | | | 4,000 | | | | | | * | | | | | | * | | |
Eric Brown, Ph.D.(21) | | | | | 25,677 | | | | | | * | | | | | | 1,500 | | | | | | 24,177 | | | | | | * | | |
John B. Henneman III(22) | | | | | 18,314 | | | | | | * | | | | | | 13,720 | | | | | | 4,594 | | | | | | * | | |
John P. Hamill(23) | | | | | 15,950 | | | | | | * | | | | | | 2,020 | | | | | | 13,930 | | | | | | * | | |
Oren Gilad, Ph.D.(24) | | | | | 333,001 | | | | | | 6.1% | | | | | | 4,000 | | | | | | 329,001 | | | | | | 6.0% | | |
Ze’ev Weiss(25) | | | | | 18,924 | | | | | | * | | | | | | 5,480 | | | | | | 13,444 | | | | | | *% | | |
| Assumed public offering price per share | | | | | | | | | | $ | 5.50 | | |
| Net tangible book value per share as of September 30, 2023 | | | | $ | 5.42 | | | | | | | | |
| Decrease in net tangible book value per share attributable to this offering | | | | $ | 0.08 | | | | | | | | |
| As adjusted net tangible book value per share as of September 30, 2023, after giving effect to this offering | | | | | | | | | | $ | 5.34 | | |
| Dilution per share to new investors purchasing shares in this offering | | | | | | | | | | $ | 0.16 | | |
| SEC registration fee | | | $ | 22,140 | | | SEC registration fee | | | $ | 4,117.41 | | | ||
| FINRA filing fee | | | | 23,000 | | | Legal fees and expenses | | | | * | | | ||
| Legal fees and expenses | | | | * | | | Accounting fees and expenses | | | | * | | | ||
| Accounting fees and expenses | | | | * | | | Total | | | | | | | ||
| Printing expenses | | | | * | | | |||||||||
| Transfer agent and registrar fees | | | | * | | | |||||||||
| Trustee fees (including counsel fees) | | | | * | | | |||||||||
| Miscellaneous | | | | * | | | |||||||||
| Total | | | $ | * | | |
| Exhibit No. | | | Description | |
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| 3.1* | | | | |
| 3.2* | | | Certificate of Amendment to Amended and Restated Certificate of Incorporation of Aprea Therapeutics, Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on February 13, 2023). | |
| 3.3* | | | Certificate of Designation of Series A Non-Voting Series A Convertible Preferred Stock (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on May 17, 2022). |
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| 3.3* | | | | |
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| 4.2* | | | | |
| 4.3* | | | |
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| 5.1 | ||||
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| 10.1*+ | | | Form of Securities Purchase Agreement, dated as of March 11, 2024, by and between Aprea Therapeutics, Inc. and the purchasers named therein (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-k filed on March 12, 2024). | |
| 10.2* | | | Form of Registration Rights Agreement, dated as of March 11, 2024, by and between Aprea Therapeutics, Inc. and the purchasers (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-k filed on March 12, 2024). | |
| 23.1 | | | | |
| 23.2 | | | | |
| 23.3 | | | | |
| 24.1 | | | ||
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| 107 | | | |
APREA THERAPEUTICS, INC. By: /s/ Oren Gilad Oren Gilad, Ph.D. President, Chief Executive Officer and Director (Principal Executive Officer) | ||||||||
/s/ John P. Hamill John P. Hamill Senior Vice President and Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) |
| Signature | | | Title | | | Date | |
| /s/ Oren Gilad Oren Gilad, Ph.D. | | | President, Chief Executive Officer and Director (Principal Executive Officer) | | | | |
| /s/ John P. Hamill John P. Hamill | | | Senior Vice President and Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) | | | ||
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| Signature | | | Title | | | Date | |
| /s/ Marc Duey Marc Duey | | | Director | | | April 3, 2024 | |
| /s/ Michael Grissinger Michael Grissinger | | | Director | | | April 3, 2024 | |
| /s/ John B. Henneman John B. Henneman III | | | Director | | | | |
| /s/ Rifat Pamukcu Rifat Pamukcu, M.D. | | | Director | | | | |
| /s/ Richard Peters Richard Peters, M.D., Ph.D. | | | Director | | | | |
| /s/ Gabriel Gruia Gabriel Gruia, M.D. | | | Director | | | | |
| /s/ Bernd Seizinger Bernd R. Seizinger, M.D., Ph.D. | | | Director | | | | |
| /s/ Jean-Pierre Bizzari Jean-Pierre Bizzari, M.D. | | | Director | | | |