0001567619-18-008561.txt : 20181221 0001567619-18-008561.hdr.sgml : 20181221 20181221210002 ACCESSION NUMBER: 0001567619-18-008561 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181221 FILED AS OF DATE: 20181221 DATE AS OF CHANGE: 20181221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vincent Mark D. CENTRAL INDEX KEY: 0001761243 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32001 FILM NUMBER: 181251081 MAIL ADDRESS: STREET 1: C/O APTOSE BIOSCIENCES INC. STREET 2: 251 CONSUMERS ROAD, SUITE 1105 CITY: TORONTO STATE: A6 ZIP: M2J 4R3 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aptose Biosciences Inc. CENTRAL INDEX KEY: 0000882361 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 251 CONSUMERS ROAD STREET 2: SUITE 1105 CITY: TORONTO STATE: A6 ZIP: M2J 4R3 BUSINESS PHONE: 647-479-9828 MAIL ADDRESS: STREET 1: 251 CONSUMERS ROAD STREET 2: SUITE 1105 CITY: TORONTO STATE: A6 ZIP: M2J 4R3 FORMER COMPANY: FORMER CONFORMED NAME: Aptose Biosciences Inc., (formerly LORUS THERAPEUTICS INC.) DATE OF NAME CHANGE: 20140905 FORMER COMPANY: FORMER CONFORMED NAME: LORUS THERAPEUTICS INC DATE OF NAME CHANGE: 19990308 FORMER COMPANY: FORMER CONFORMED NAME: IMUTEC PHARMA INC DATE OF NAME CHANGE: 19970113 3 1 doc1.xml FORM 3 X0206 3 2018-12-21 0 0000882361 Aptose Biosciences Inc. APTO 0001761243 Vincent Mark D. C/O APTOSE BIOSCIENCES INC. 251 CONSUMERS ROAD, SUITE 1105 TORONTO A6 M2J 4R3 ONTARIO, CANADA 1 0 0 0 Common Shares 6500 D Director Stock Option (Right to Buy) 1.93 2011-11-29 2021-11-29 Common Shares 1250 D Director Stock Option (Right to Buy) 1.62 2012-03-09 2022-03-09 Common Shares 2083 D Director Stock Option (Right to Buy) 4.27 2012-08-02 2022-08-02 Common Shares 1250 D Director Stock Option (Right to Buy) 4.49 2014-04-10 2024-04-10 Common Shares 2500 D Director Stock Option (Right to Buy) 5.07 2015-01-16 2023-01-16 Common Shares 22000 D Director Stock Option (Right to Buy) 2.86 2016-03-31 2026-03-31 Common Shares 10000 D Director Stock Option (Right to Buy) 1.14 2017-03-28 2027-03-28 Common Shares 10000 D Director Stock Option (Right to Buy) 1.03 2017-06-06 2027-06-06 Common Shares 5000 D Director Stock Option (Right to Buy) 2.64 2018-01-19 2028-01-19 Common Shares 60000 D Represents date of grant; options are 100% vested as of December 31, 2018. Represents date of grant; options vest as follows: 50% on first anniversary following date of grant; 25% on second anniversary following date of grant; and 25% on third anniversary following date of grants. Converted from the Canadian exercise price of $2.58 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $2.16 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $5.70 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $6.00 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $6.77 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $3.82 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $1.52 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $1.38 using a conversion rate of Cdn$1.3354 = US$1.00. Converted from the Canadian exercise price of $3.52 using a conversion rate of Cdn$1.3354 = US$1.00. Exhibit 24.1: Power of Attorney /s/ Janet Clennett, as attorney-in-fact for Mark D. Vincent 2018-12-21 EX-24.1 2 vincent_poa.htm

POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and appoints Janet Clennett and Gregory Chow as the undersigned’s true and lawful attorney-in-fact to:

 (1)
execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer, director and/or 10% shareholder of Aptose Biosciences Inc. (the “Company”), Forms 3, 4 and 5 (including amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules and regulations thereunder and any Form ID, Uniform Application for Access Codes to File on Edgar, or Update Passphrase Form;

(2)
do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Forms 3, 4 or 5, Form ID or Update Passphrase Form and timely file such forms (including amendments thereto) and application with the United States Securities and Exchange Commission and any stock exchange or similar authority; and

(3)
take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.
The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.
The undersigned agrees that each such attorney-in-fact herein may rely entirely on information furnished orally or in writing by the undersigned to such attorney-in-fact. The undersigned also agrees to indemnify and hold harmless the Company and each such attorney-in-fact against any losses, claims, damages or liabilities (or actions in these respects) that arise out of or are based upon any untrue statements or omission of necessary facts in the information provided by the undersigned to such attorney-in fact for purposes of executing, acknowledging, delivering or filing Forms 3, 4 or 5 (including amendments thereto), Form ID or Update Passphrase Form and agrees to reimburse the Company and such attorney-in-fact for any legal or other expenses reasonably incurred in connection with investigating or defending against any such loss, claim, damage, liability or action.
This Power of Attorney supersedes any power of attorney previously executed by the undersigned regarding the purposes outlined in the first paragraph hereof (“Prior Powers of Attorney”), and the authority of the attorneys-in-fact named in any Prior Powers of Attorney is hereby revoked.
This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned’s holdings of and transactions in securities issued by
the Company, unless earlier (a) revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact or (b) superseded by a new power of attorney regarding the purposes outlined in the first paragraph hereof dated as of a later date.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 5th day of December, 2018.
/s/ Mark D. Vincent           
Mark D. Vincent