FORM 6-K
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Report of Foreign Issuer
Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934
For the Month of October, 2014
Commission File Number 1-32001
Aptose Biosciences Inc.
(formerly Lorus Therapeutics Inc.)
(Translation of registrant’s name into English)
2 Meridian Road, Toronto, Ontario M9W 4Z7
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F ☒ Form 40-F ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ____
Note: Regulation S-T Rule 101(b)(1) only permits the submission in paper of a Form 6-K if submitted solely to provide an attached annual report to security holders.
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ____
Note: Regulation S-T Rule 101(b)(7) only permits the submission in paper of a Form 6-K if submitted to furnish a report or other document that the registrant foreign private issuer must furnish and make public under the laws of the jurisdiction in which the registrant is incorporated, domiciled or legally organized (the registrant’s “home country”), or under the rules of the home country exchange on which the registrant’s securities are traded, as long as the report or other document is not a press release, is not required to be and has not been distributed to the registrant’s security holders, and, if discussing a material event, has already been the subject of a Form 6-K submission or other Commission filing on EDGAR.
Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
Yes ☐ No ☒
If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b):82-_______________.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Aptose Biosciences Inc. | ||
| Date: October 21, 2014 | By: | /s/ “Gregory Chow” |
Gregory Chow | ||
Senior Vice President and Chief Financial Officer | ||
EXHIBIT INDEX
| 99.1 | Material Change Report |
Exhibit 99.1
Form 51-102F3
Material Change Report
Item 1 Name and Address of Company
Aptose Biosciences Inc. (“Aptose”
or the “Company”)
2 Meridian Road
Toronto, ON
M9W 4Z7
Item 2 Date of Material Change
October 21, 2014
Item 3 News Release
A news release reporting the material change was issued by Aptose on October 21, 2014 in Canada through CNW Group and is attached hereto as Schedule “A”.
Item 4 Summary of Material Change
On October 21, 2014, Aptose announced its common shares have been approved for listing on the NASDAQ Capital Market (“NASDAQ”) under the symbol “APTO”.
Aptose will begin trading on NASDAQ on or around October 23, 2014. The Company will retain its listing on the Toronto Stock Exchange under the symbol “APS”.
Item 5 Full Description of Material Change
For more information regarding the material change, please see the news release issued on October 21, 2014 attached hereto as Schedule “A.”
Item 6 Reliance on subsection 7.1(2) of National Instrument 51-102
Not Applicable.
Item 7 Omitted Information
Not Applicable.
Item 8 Executive Officer
For further information please contact:
Aptose Biosciences Inc.
Gregory K. Chow
416-798-1200
Item 9 Date of Report
October 21, 2014
Schedule A
News Release
Aptose Biosciences Announces Approval for Listing on the NASDAQ Capital Market Shares to Begin Trading Under the Symbol APTO
SAN DIEGO and TORONTO, Oct. 21, 2014 /CNW/ - Aptose Biosciences Inc. (Aptose) (TSX:APS), a clinical-stage company developing targeted agents and molecular diagnostics to treat the underlying mechanisms of cancer, announced today that its common shares have been approved for listing on the NASDAQ Capital Market under the symbol "APTO".
Aptose will begin trading on NASDAQ on or around October 23, 2014. The Company will retain its listing on the Toronto Stock Exchange under the symbol "APS".
"Our listing on the NASDAQ Capital Market is a major milestone for the company and a testament to the significant progress Aptose has achieved in the past year," said William G. Rice, Ph.D., Aptose's Chairman, President and Chief Executive Officer. "Moving forward, we believe the listing will provide access to a broader range of investors and opportunity for increased shareholder value."
About Aptose
Aptose Biosciences is a clinical-stage biotechnology company committed to discovering and developing personalized therapies addressing unmet medical needs in oncology. Aptose is advancing new therapeutics focused on novel cellular targets on the leading edge of cancer research coupled with companion diagnostics to identify the optimal patient population for our products. The company's small molecule cancer therapeutics pipeline includes products designed to provide additive or synergistic efficacy with existing anti-cancer therapies and regimens without overlapping toxicities. Aptose Biosciences Inc. is listed on the TSX under the symbol APS and will be listed on NASDAQ under the symbol APTO.
This press release contains forward-looking statements within the meaning of Canadian and U.S. securities laws. Such statements include, but are not limited to, statements relating to Aptose's plans, objectives, expectations and intentions and other statements including words such as "continue", "expect", "intend", "will", "should", "would", "may", and other similar expressions and including, without limitation, statements regarding the listing date of Aptose's common shares on NASDAQ and the expected benefits to be derived from the listing. Such statements reflect our current views with respect to future events and are subject to risks and uncertainties and are necessarily based upon a number of estimates and assumptions that, while considered reasonable by us are inherently subject to significant business, economic, competitive, political and social uncertainties and contingencies. Many factors could cause our actual results, performance or achievements to be materially different from any future results, performance or achievements described in this press release. Such expressed or implied factors include, among others: changes in our stock price; our ability to meet listing requirements; our ability to obtain the capital required for research and operations; the inherent risks in early stage drug development including demonstrating efficacy; development time/cost and the regulatory approval process; the progress of our clinical trials; our ability to find and enter into agreements with potential partners; our ability to attract and retain key personnel; changing market conditions; stock market volatility; and other risks detailed from time-to-time in our ongoing quarterly filings, annual information forms, annual reports and annual filings with Canadian securities regulators and the United States Securities and Exchange Commission.
Should one or more of these risks or uncertainties materialize, or should the assumptions set out in the section entitled "Risk Factors" in our filings with Canadian securities regulators and the United States Securities and Exchange Commission underlying those forward-looking statements prove incorrect, actual results may vary materially from those described herein. These forward-looking statements are made as of the date of this press release and we do not intend, and do not assume any obligation, to update these forward-looking statements, except as required by law. We cannot assure you that such statements will prove to be accurate as actual results and future events could differ materially from those anticipated in such statements. Investors are cautioned that forward-looking statements are not guarantees of future performance and accordingly investors are cautioned not to put undue reliance on forward-looking statements due to the inherent uncertainty therein.
SOURCE Aptose Biosciences Inc.
PDF available at: http://stream1.newswire.ca/media/2014/10/21/20141021_C9026_DOC_EN_43076.pdf
%CIK: 0000882361
For further information:
Aptose Biosciences
Greg Chow, CFO
416-798-1200
gchow@aptose.com
BCC Partners
Karen L. Bergman or Susan Pietropaolo
650-575-1509 or 845-638-6290
kbergman@bccpartners.com or spietropaolo@bccpartners.com
CO: Aptose Biosciences Inc.
CNW 08:00e 21-OCT-14