SEC Form 4 · accession 0001019056-17-000290

Aptevo Therapeutics Inc. · APVO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — See Remarks

Period of report

Mar 1, 2017

Accepted (ET)

Mar 13, 2017 · 9:06 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001671584

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Mar 1, 2017	M	9,140	—	A	25,011	D
Common Stock	Mar 1, 2017	F	2,148	$2.02	D	22,593	D
Common Stock^F1	Mar 9, 2017	M	9,727	—	A	32,320	D
Common Stock	Mar 9, 2017	F	2,573	$1.80	D	29,747	D
Common Stock^F1	Mar 10, 2017	M	14,506	—	A	44,253	D
Common Stock	Mar 10, 2017	F	3,837	$1.78	D	40,416	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F1,F2	—	Mar 1, 2017	M	9,140	D	—	—	Common Stock	9,140	108,468	D
Restricted Stock Unit^F1,F3	—	Mar 9, 2017	M	9,727	D	—	—	Common Stock	9,727	98,741	D
Restricted Stock Unit^F1,F4	—	Mar 10, 2017	M	14,506	D	—	—	Common Stock	14,506	84,235	D

F1Each RSU converts into the Issuer's common stock on a one-for-one basis.
F2The RSUs were originally issued by Emergent BioSolutions, Inc. ("Emergent") on March 1, 2016. As a result of the spin-off of the Issuer from Emergent effective on August 1, 2016 (the "Spin-off"), each RSU was adjusted and assumed by the Issuer. The RSUs vest as follows: 9,140 on March 1, 2017, 9,140 on March 1, 2018 and 9,138 on March 1, 2019.
F3The RSUs were originally issued by Emergent on March 10, 2015 and, as a result of the Spin-off, were adjusted and assumed by the Issuer. The RSUs vest as follows: 9,727 on March 9, 2017 and 9,728 on March 9, 2018.
F4The RSUs were originally issued by Emergent on March 11, 2014 and, as a result of the Spin-off, were adjusted and assumed by the Issuer. The RSUs fully vested on March 10, 2017.

Title - SVP, Research and Non-Clinical Development