12.6M shares registered for resale by investors — Aprea Therapeutics (NASDAQ: APRE)
Aprea Therapeutics registers 12,577,714 shares for resale by private placement investors. This registration covers up to 12,577,714 shares of Common Stock consisting of 1,877,677 shares issued in the January 30, 2026 private placement, 4,411,180 shares issuable upon exercise of pre-funded warrants, and 6,288,857 shares issuable upon exercise of common warrants.
The company is not offering any shares for its own account and will not receive proceeds from resales, although it will receive proceeds from any cash exercise of warrants. The filing discloses an exercise price of
Positive
- None.
Negative
- None.
Insights
Registration is a resale registration with standard transfer and beneficial-ownership limits.
The prospectus registers 12,577,714 shares for resale by private placement purchasers and clarifies the company will not receive proceeds from resales; proceeds are only received on cash warrant exercises at
Sale mechanics include public or private transactions, Rule 144 sales, and customary underwriting/agency arrangements. The warrants include a beneficial ownership blocker of
R&D pipeline updates are disclosed separately; this filing is financing-related, not clinical news.
The prospectus references APR-1051 Phase 1 dose escalation and ATRN-119 RP2D of 1,100 mg once daily determined on
Clinical milestones remain material to valuation, but this registration itself is administrative; cash from any warrant exercises would be available for clinical trials and general corporate purposes.
SECURITIES AND EXCHANGE COMMISSION
UNDER
THE SECURITIES ACT OF 1933
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Delaware
(State or other jurisdiction of
incorporation or organization) |
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84-2246769
(I.R.S. Employer
Identification Number) |
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Doylestown, PA 18902
(215) 948-4119
President and Chief Executive Officer
Aprea Therapeutics, Inc.
3805 Old Easton Road
Doylestown, PA 18902
(215) 948-4119
Fahd M.T. Riaz, Esq.
Patrick O’Malley, Esq.
DLA Piper LLP (US)
1650 Market Street, Suite 5000
Philadelphia, PA 19103-7300
(212) 839-5599
From time to time after this registration statement becomes effective.
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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Emerging growth company
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PROSPECTUS SUMMARY
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| | | | 1 | | |
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THE OFFERING
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| | | | 3 | | |
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RISK FACTORS
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| | | | 4 | | |
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FORWARD-LOOKING STATEMENTS
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| | | | 5 | | |
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USE OF PROCEEDS
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| | | | 7 | | |
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SELLING STOCKHOLDERS
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| | | | 8 | | |
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PLAN OF DISTRIBUTION
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| | | | 12 | | |
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DESCRIPTION OF CAPITAL STOCK
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| | | | 14 | | |
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LEGAL MATTERS
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| | | | 17 | | |
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EXPERTS
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| | | | 18 | | |
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WHERE YOU CAN FIND MORE INFORMATION
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| | | | 19 | | |
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INFORMATION INCORPORATED BY REFERENCE
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| | | | 20 | | |
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Shares of
Common Stock Beneficially Owned Prior to this Offering(1) |
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Maximum
Number of shares of Common Stock to be Sold Pursuant to this Prospectus(2) |
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Shares of
Common Stock to be Beneficially Owned After this Offering(3) |
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Name of Selling Stockholder
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Number
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Percentage
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Number
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Percentage
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Lytton-Kambra Foundation(4)
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| | | | 681,837 | | | | | | 6.0% | | | | | | 3,370,786 | | | | | | 681,837 | | | | | | 6.0% | | |
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3i, LP(5)
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| | | | 571,411 | | | | | | 4.8% | | | | | | 2,247,192 | | | | | | 536,480 | | | | | | 4.7% | | |
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AIGH Investment Partners, LP(6)
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| | | | 481,378 | | | | | | 4.1% | | | | | | 3,270,972 | | | | | | 481,378 | | | | | | 4.2% | | |
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WVP Emerging Manager Onshore Fund LLC – AIGH Series(7)
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| | | | 170,369 | | | | | | 1.5% | | | | | | 1,223,410 | | | | | | 170,369 | | | | | | 1.5% | | |
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Lind Global Fund III LP(8)
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| | | | 571,411 | | | | | | 4.99% | | | | | | 1,123,596 | | | | | | — | | | | | | —% | | |
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The Hewlett Fund LP(9)
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| | | | 571,411 | | | | | | 4.99% | | | | | | 674,158 | | | | | | — | | | | | | —% | | |
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The Class IV Fund LP(10)
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| | | | 571,411 | | | | | | 4.99% | | | | | | 600,000 | | | | | | — | | | | | | —% | | |
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Oren Gilad, Ph.D.(11)
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| | | | 483,361 | | | | | | 4.2% | | | | | | 56,200 | | | | | | 427,161 | | | | | | 3.7% | | |
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John P. Hamill(12)
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| | | | 75,482 | | | | | | 0.7% | | | | | | 11,400 | | | | | | 64,082 | | | | | | 0.6% | | |
3805 Old Easton Road
Doylestown, PA 18902
(215) 948-4119
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SEC registration fee
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| | | $ | 1,046.44 | | |
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Legal fees and expenses
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| | | | * | | |
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Accounting fees and expenses
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Total
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| | | $ | 1,046.44 | | |
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Exhibit No.
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Description
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| | 3.1* | | |
Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Report on Form 8-K filed on October 7, 2019).
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| | 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). | |
| | 3.4* | | | Amended and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.1 to the Quarterly Report on Form 10-Q for the quarter ended September 30, 2020, filed on November 6, 2020). | |
| | 4.1* | | |
Form of Pre-Funded Warrant (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed on January 29, 2026).
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| | 4.2* | | |
Form of Common Warrant (incorporated by reference to Exhibit 4.2 to the Current Report on Form 8-K filed on January 29, 2026).
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| | 5.1 | | |
Opinion of DLA Piper LLP (US).
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Exhibit No.
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Description
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| | 10.1*+ | | | Form of Securities Purchase Agreement, dated as of January 28, 2026, 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 January 29, 2026). | |
| | 10.2* | | | Form of Registration Rights Agreement, dated as of January 28, 2026, 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 January 29, 2026). | |
| | 23.1 | | |
Consent of DLA Piper LLP (US) (included in Exhibit 5.1).
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| | 23.2 | | |
Consent of EisnerAmper LLP.
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| | 24.1 | | |
Power of Attorney (included in Signature Page).
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| | 107 | | |
Filing fee table.
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President, Chief Executive Officer and Director
(Principal Executive Officer)
Senior Vice President and Chief Financial Officer
(Principal Financial Officer and Principal
Accounting Officer)
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Signature
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Title
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Date
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/s/ Oren Gilad
Oren Gilad, Ph.D.
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President, Chief Executive Officer and Director
(Principal Executive Officer) |
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February 20, 2026
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/s/ John P. Hamill
John P. Hamill
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Senior Vice President and Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer) |
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February 20, 2026
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/s/ Marc Duey
Marc Duey
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Director
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February 20, 2026
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/s/ Michael Grissinger
Michael Grissinger
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Director
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February 20, 2026
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Signature
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Title
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Date
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/s/ John B. Henneman
John B. Henneman III
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Director
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February 20, 2026
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/s/ Rifat Pamukcu
Rifat Pamukcu, M.D.
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Director
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February 20, 2026
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/s/ Richard Peters
Richard Peters, M.D., Ph.D.
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Director
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February 20, 2026
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/s/ Gabriel Gruia
Gabriel Gruia, M.D.
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Director
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February 20, 2026
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/s/ Bernd Seizinger
Bernd R. Seizinger, M.D., Ph.D.
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Director
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February 20, 2026
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/s/ Jean-Pierre Bizzari
Jean-Pierre Bizzari, M.D.
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Director
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February 20, 2026
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