Filing Details

Accession Number:
0001567619-20-021613
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-12-28 18:00:59
Reporting Period:
2020-12-22
Accepted Time:
2020-12-28 18:00:59
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 2020-12-22 20,000 $2.01 60,000 No 4 M Direct
Common Shares Disposition 2020-12-22 10,000 $4.01 50,000 No 4 S Direct
Common Shares Disposition 2020-12-22 10,000 $4.11 40,000 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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) Disposition 2020-12-22 20,000 $0.00 40,000 $2.01
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
20,000 2019-01-02 2029-01-02 No 4 M Direct
Footnotes
  1. Converted from Canadian exercise price of C$2.60 using an exchange rate of C$1.2908 = US$1.00.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.16 to C$5.1924, 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 ranges set forth in this footnote. The weighted average sales price reported above was converted from the Canadian weighted average sales price of C$5.1745 using an exchange rate of C$1.2908 = US$1.00.
  3. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.2979 to C$5.3111, 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 ranges set forth in this footnote. The weighted average sales price reported above was converted from the Canadian weighted average sales price of C$5.3003 using an exchange rate of C$1.2908 = US$1.00.
  4. The options were granted on 1/2/2019 and fully vested on 1/2/2020.