SEC Form 4 · accession 0001019056-17-000648
Aptevo Therapeutics Inc. · APVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jane A Gross
Officer — See Remarks
Period of report
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 3:59 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 1, 2017 | M | 38,093 | — | A | 78,509 | D | |
| Common Stock | Aug 1, 2017 | F | 10,076 | $1.83 | D | 68,433 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Aug 1, 2017 | M | 38,093 | D | — | — | Common Stock | 38,093 | 46,142 | D |
Explanation of responses
- F1Each RSU converts into the Issuer's common stock on a one-for-one basis.
- F2The RSUs were originally issued on August 3, 2016 and fully vested on August 1, 2017.
Remarks
Title - SVP, Research and Non-Clinical Development