SEC Form 4 · accession 0001019056-18-000287
Aptevo Therapeutics Inc. · APVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey G. Lamothe
Officer — SVP, CFO and Treasurer
Period of report
Feb 3, 2018
Accepted (ET)
Feb 6, 2018 · 7:21 pm EST
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 | Feb 3, 2018 | M | 25,340 | — | A | 66,623 | D | |
| Common Stock | Feb 3, 2018 | F | 7,514 | $3.24 | D | 59,109 | 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 | — | Feb 3, 2018 | M | 25,340 | D | — | — | Common Stock | 25,340 | 21,385 | D |
Explanation of responses
- F1Each RSU converts into the Issuer's common stock on a one-for-one basis.
- F2On August 3, 2016, the reporting person was granted 50,680 RSUs, vesting in two equal installments on February 3, 2017 and February 3, 2018.