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