Apexigen (APGN) Form 3/A Apexigen / Jakob Dupont ownership change

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^*

Dupont Jakob

(Last) (First) (Middle)

C/O APEXIGEN, INC.

75 SHOREWAY ROAD, SUITE C

(Street)

SAN CARLOS CA 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)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)
08/08/2022

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)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	(1)	02/12/2031	Common Stock	20,489	4.49	D

Explanation of Responses:

1. Prior to the date on which the reporting person became subject to Section 16, he was granted an option to purchase 20,489 shares of common stock which vest upon the satisfaction of certain performance metrics. The first threshold was met resulting in the vesting of 5,122 shares. The remaining shares vest upon the achievement of certain additional performance metrics or upon a change in control.

Remarks:

This amendment on Form 3 is filed to report an option that was inadvertently omitted from the Form 3 filed on August 8, 2022.

	/s/ Francis Sarena, by power of attorney	08/24/2023
	** 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).
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