SEC Form 4 · accession 0001019056-17-000649
Aptevo Therapeutics Inc. · APVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Stromatt
Officer — Chief Medical Officer and SVP
Period of report
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 4:00 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 | 78,123 | — | A | 147,195 | 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 | 78,123 | D | — | — | Common Stock | 78,123 | 73,811 | D |
Explanation of responses
- F1Each RSU converts into the Issuer's common stock on a one-for-one basis.
- F2The RSUs were issued on August 3, 2016 and fully vested on August 1, 2017.