SEC Form 4 · accession 0001019056-18-000956
Aptevo Therapeutics Inc. · APVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shawnte Mitchell
Officer — SVP, GC and Corporate Affairs
Period of report
Aug 9, 2018
Accepted (ET)
Aug 13, 2018 · 4:45 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 9, 2018 | M | 1,630 | — | A | 76,135 | D | |
| Common Stock | Aug 9, 2018 | F | 383 | $4.50 | D | 75,752 | 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 UnitsF1,F2 | — | Aug 9, 2018 | M | 1,630 | D | — | — | Common Stock | 1,630 | 6,787 | D |
Explanation of responses
- F1Restricted stock units convert into shares of the Issuer's common stock on a one-for-one basis.
- F2On August 10, 2015, the reporting person was granted 4,892 restricted stock units. 1,631 shares of common stock underlying the restricted stock units vested on each of August 9, 2016 and August 9, 2017, and 1,630 vested on August 9, 2018.