SEC Form 3 · accession 0001567619-18-008557
Aptose Biosciences Inc. · APTOF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory K. Chow
Officer — Senior VP & CFO
Period of report
Dec 21, 2018
Accepted (ET)
Dec 21, 2018 · 8:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000882361
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | holding | — | — | — | 112,014 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3,F1 | $7.01 | holding | — | — | — | Nov 4, 2013 | Nov 4, 2023 | Common Shares | 35,417 | — | D |
| Employee Stock Option (Right to Buy)F4,F1 | $5.48 | holding | — | — | — | Dec 10, 2013 | Dec 10, 2023 | Common Shares | 35,417 | — | D |
| Employee Stock Option (Right to Buy)F5,F1 | $4.49 | holding | — | — | — | Apr 10, 2014 | Apr 10, 2024 | Common Shares | 35,417 | — | D |
| Employee Stock Option (Right to Buy)F6,F1 | $4.27 | holding | — | — | — | Jun 16, 2014 | Jun 16, 2024 | Common Shares | 22,083 | — | D |
| Employee Stock Option (Right to Buy)F7,F1 | $3.95 | holding | — | — | — | Jul 18, 2014 | Jul 18, 2024 | Common Shares | 64,167 | — | D |
| Employee Stock Option (Right to Buy)F8,F1 | $5.21 | holding | — | — | — | Jun 10, 2015 | Jun 10, 2025 | Common Shares | 60,000 | — | D |
| Employee Stock Option (Right to Buy)F9,F2 | $2.86 | holding | — | — | — | Mar 31, 2016 | Mar 31, 2026 | Common Shares | 60,000 | — | D |
| Employee Stock Option (Right to Buy)F10,F2 | $1.14 | holding | — | — | — | Mar 28, 2017 | Mar 28, 2027 | Common Shares | 100,000 | — | D |
| Employee Stock Option (Right to Buy)F2 | $1.03 | holding | — | — | — | Jun 6, 2017 | Jun 6, 2027 | Common Shares | 50,000 | — | D |
| Employee Stock Option (Right to Buy) | $2.80 | holding | — | — | — | Jan 19, 2018 | Jan 19, 2028 | Common Shares | 150,000 | — | D |
| Employee Stock Option (Right to Buy)F2 | $3.07 | holding | — | — | — | Jan 22, 2018 | Jan 22, 2028 | Common Shares | 350,000 | — | D |
Explanation of responses
- F1Represents date of grant; options are 100% vested as of December 31, 2018.
- F10Converted from the Canadian exercise price of $1.52 using a conversion rate of Cdn$1.3354 = US$1.00.
- F2Represents date of grant; options vest as follows: 50% on first anniversary following date of grant; 1/3 on second anniversary following date of grant; 1/3 on third anniversary following date of grants; and 1/3 on fourth anniversary of date of grant..
- F3Converted from the Canadian exercise price of $9.36 using a conversion rate of Cdn$1.3354 = US$1.00.
- F4Converted from the Canadian exercise price of $7.32 using a conversion rate of Cdn$1.3354 = US$1.00.
- F5Converted from the Canadian exercise price of $6.00 using a conversion rate of Cdn$1.3354 = US$1.00.
- F6Converted from the Canadian exercise price of $5.70 using a conversion rate of Cdn$1.3354 = US$1.00.
- F7Converted from the Canadian exercise price of $5.28 using a conversion rate of Cdn$1.3354 = US$1.00.
- F8Converted from the Canadian exercise price of $6.96 using a conversion rate of Cdn$1.3354 = US$1.00.
- F9Converted from the Canadian exercise price of $3.82 using a conversion rate of Cdn$1.3354 = US$1.00.
Remarks
Exhibit 24.1: Power of Attorney