0001567619-20-012610.txt : 20200625
0001567619-20-012610.hdr.sgml : 20200625
20200625183824
ACCESSION NUMBER: 0001567619-20-012610
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200623
FILED AS OF DATE: 20200625
DATE AS OF CHANGE: 20200625
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Whitehead Warren
CENTRAL INDEX KEY: 0001761449
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32001
FILM NUMBER: 20990443
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
4
1
doc1.xml
FORM 4
X0306
4
2020-06-23
0
0000882361
Aptose Biosciences Inc.
APTO
0001761449
Whitehead Warren
C/O APTOSE BIOSCIENCES INC.
251 CONSUMERS ROAD, SUITE 1105
TORONTO
A6
M2J 4R3
ONTARIO, CANADA
1
0
0
0
Common Shares
2020-06-23
4
M
0
1250
1.91
A
51250
D
Common Shares
2020-06-23
4
M
0
500
1.60
A
51750
D
Common Shares
2020-06-23
4
M
0
1250
4.22
A
53000
D
Common Shares
2020-06-23
4
M
0
10000
1.12
A
63000
D
Common Shares
2020-06-23
4
S
0
13000
7.08
D
50000
D
Common Shares
2020-06-23
4
S
0
5000
7.17
D
45000
D
Common Shares
2020-06-24
4
M
0
5000
1.02
A
50000
D
Common Shares
2020-06-24
4
M
0
7000
2.60
A
57000
D
Common Shares
2020-06-24
4
S
0
12000
6.73
D
45000
D
Common Shares
2020-06-24
4
S
0
5000
6.78
D
40000
D
Director Stock Option (Right to Buy)
1.91
2020-06-23
4
M
0
1250
0
A
2011-11-29
2021-11-29
Common Shares
1250
0
D
Director Stock Option (Right to Buy)
1.60
2020-06-23
4
M
0
500
0
A
2012-03-09
2022-03-09
Common Shares
500
0
D
Director Stock Option (Right to Buy)
4.22
2020-06-23
4
M
0
1250
0
A
2011-11-29
2021-11-29
Common Shares
1250
0
D
Director Stock Option (Right to Buy)
1.12
2020-06-23
4
M
0
10000
0
A
2017-03-28
2027-03-28
Common Shares
10000
0
D
Director Stock Option (Right to Buy)
1.02
2020-06-24
4
M
0
5000
0
A
2017-06-06
2027-06-06
Common Shares
5000
0
D
Director Stock Option (Right to Buy)
2.60
2020-06-24
4
M
0
7000
0
A
2018-01-19
2028-01-19
Common Shares
7000
53000
D
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.
/s/ Gregory K. Chow as attorney-in-fact for Warren Whitehead
2020-06-25