Filing Details
- Accession Number:
- 0001567619-20-012610
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-06-25 18:38:24
- Reporting Period:
- 2020-06-23
- Accepted Time:
- 2020-06-25 18:38:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 882361 | Aptose Biosciences Inc. | APTO | Biological Products, (No Disgnostic Substances) (2836) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1761449 | Warren Whitehead | C/O Aptose Biosciences Inc. 251 Consumers Road, Suite 1105 Toronto A6 M2J 4R3 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Acquisiton | 2020-06-23 | 1,250 | $1.91 | 51,250 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2020-06-23 | 500 | $1.60 | 51,750 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2020-06-23 | 1,250 | $4.22 | 53,000 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2020-06-23 | 10,000 | $1.12 | 63,000 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2020-06-23 | 13,000 | $7.08 | 50,000 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2020-06-23 | 5,000 | $7.17 | 45,000 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2020-06-24 | 5,000 | $1.02 | 50,000 | No | 4 | M | Direct | |
| Common Shares | Acquisiton | 2020-06-24 | 7,000 | $2.60 | 57,000 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2020-06-24 | 12,000 | $6.73 | 45,000 | No | 4 | S | Direct | |
| Common Shares | Disposition | 2020-06-24 | 5,000 | $6.78 | 40,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Shares | Director Stock Option (Right to Buy) | Acquisiton | 2020-06-23 | 1,250 | $0.00 | 1,250 | $1.91 |
| Common Shares | Director Stock Option (Right to Buy) | Acquisiton | 2020-06-23 | 500 | $0.00 | 500 | $1.60 |
| Common Shares | Director Stock Option (Right to Buy) | Acquisiton | 2020-06-23 | 1,250 | $0.00 | 1,250 | $4.22 |
| Common Shares | Director Stock Option (Right to Buy) | Acquisiton | 2020-06-23 | 10,000 | $0.00 | 10,000 | $1.12 |
| Common Shares | Director Stock Option (Right to Buy) | Acquisiton | 2020-06-24 | 5,000 | $0.00 | 5,000 | $1.02 |
| Common Shares | Director Stock Option (Right to Buy) | Acquisiton | 2020-06-24 | 7,000 | $0.00 | 7,000 | $2.60 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-11-29 | 2021-11-29 | No | 4 | M | Direct |
| 0 | 2012-03-09 | 2022-03-09 | No | 4 | M | Direct |
| 0 | 2011-11-29 | 2021-11-29 | No | 4 | M | Direct |
| 0 | 2017-03-28 | 2027-03-28 | No | 4 | M | Direct |
| 0 | 2017-06-06 | 2027-06-06 | No | 4 | M | Direct |
| 53,000 | 2018-01-19 | 2028-01-19 | No | 4 | M | Direct |
Footnotes
- Converted from Canadian exercise price of $2.58 using an exchange rate of 1.3516.
- Converted from Canadian exercise price of $2.16 using an exchange rate of 1.3516.
- Converted from Canadian exercise price of $5.70 using an exchange rate of 1.3516.
- Converted from Canadian exercise price of $1.52 using an exchange rate of 1.3516.
- Converted from Canadian exercise price of $1.38 using an exchange rate of 1.3516.
- Converted from Canadian exercise price of $3.52 using an exchange rate of 1.3516.
- The sale price of $7.08 is a weighted average price. These shares were sold in multiple transactions at prices ranging from C$9.55 to C$9.6464, inclusive. The reporting person undertakes to provide to Aptose Biosciences Inc., any security holder of Aptose Biosciences Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the rages set forth in this footnote (7). The average weighted sale price of C$9.57 was converted into U.S. dollars using an exchange rate of 1.3516.
- Converted from Canadian sale price of $9.69 using an exchange rate of 1.3516.
- The sale price of $6.73 is a weighted average price. These shares were sold in multiple transactions at prices ranging from C$9.00 to C$9.22, inclusive. The reporting person undertakes to provide to Aptose Biosciences Inc., any security holder of Aptose Biosciences Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the rages set forth in this footnote (9). The Canadian average weighted sale price of $9.09 was converted to U.S. dollars using an exchange rate of 1.3516.
- Converted from Canadian sales price of $9.1678 using an exchange rate of 1.3516.
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