0001209191-21-066146.txt : 20211122 0001209191-21-066146.hdr.sgml : 20211122 20211122172630 ACCESSION NUMBER: 0001209191-21-066146 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211118 FILED AS OF DATE: 20211122 DATE AS OF CHANGE: 20211122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANG KEVIN C CENTRAL INDEX KEY: 0001178579 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37746 FILM NUMBER: 211433729 MAIL ADDRESS: STREET 1: 4747 EXECUTIVE DRIVE STREET 2: SUITE 210 CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANG CAPITAL PARTNERS LP CENTRAL INDEX KEY: 0001191935 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37746 FILM NUMBER: 211433726 BUSINESS ADDRESS: STREET 1: 4747 EXECUTIVE DRIVE STREET 2: SUITE 210 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-200-3830 MAIL ADDRESS: STREET 1: 4747 EXECUTIVE DRIVE STREET 2: SUITE 210 CITY: SAN DIEGO STATE: CA ZIP: 92121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TANG CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001232621 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37746 FILM NUMBER: 211433728 BUSINESS ADDRESS: STREET 1: 4747 EXECUTIVE DRIVE STREET 2: SUITE 210 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-200-3830 MAIL ADDRESS: STREET 1: 4747 EXECUTIVE DRIVE STREET 2: SUITE 210 CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aptevo Therapeutics Inc. CENTRAL INDEX KEY: 0001671584 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 811567056 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2401 4TH AVE. STREET 2: SUITE 1050 CITY: SEATTLE STATE: WA ZIP: 98121 BUSINESS PHONE: 206-838-0500 MAIL ADDRESS: STREET 1: 2401 4TH AVE. STREET 2: SUITE 1050 CITY: SEATTLE STATE: WA ZIP: 98121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-11-18 0 0001671584 Aptevo Therapeutics Inc. APVO 0001178579 TANG KEVIN C 4747 EXECUTIVE DRIVE SUITE 210 SAN DIEGO CA 92121 0 0 1 0 0001232621 TANG CAPITAL MANAGEMENT LLC 4747 EXECUTIVE DRIVE SUITE 210 SAN DIEGO CA 92121 0 0 1 0 0001191935 TANG CAPITAL PARTNERS LP 4747 EXECUTIVE DRIVE SUITE 210 SAN DIEGO CA 92121 0 0 1 0 Common Stock 2021-11-18 4 S 0 43213 9.3845 D 1716787 I By LP Common Stock 2021-11-18 4 S 0 152764 8.3234 D 1564023 I By LP Common Stock 2021-11-18 4 S 0 4023 8.0015 D 1560000 I By LP Common Stock 2021-11-18 4 S 0 169533 8.0947 D 1390467 I By LP Common Stock 2021-11-19 4 S 0 30467 8.0123 D 1360000 I By LP Common Stock 2021-11-19 4 S 0 183333 7.5205 D 1176667 I By LP Common Stock 2021-11-22 4 S 0 16667 7.3589 D 1160000 I By LP Common Stock 2021-11-22 4 S 0 196281 7.1081 D 963719 I By LP Common Stock 2021-11-22 4 S 0 3719 6.6627 D 960000 I By LP Common Stock 2021-11-22 4 S 0 38664 6.5532 D 921336 I By LP The prices reported in Column 4 are weighted average prices. These shares were sold in multiple transactions at prices ranging from $9.05 to $10.05. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the SEC Staff, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes 1 and 3 through 11 herein. The shares are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $8.04 to $9.04. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.01. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.34. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $7.78 to $8.15. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $7.20 to $8.09. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $7.20 to $7.54. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $6.69 to $7.69. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $6.66 to $6.68. The prices reported in Column 4 are weighted-average prices. These shares were sold in multiple transactions at prices ranging from $6.50 to $6.71. /s/ Kevin Tang 2021-11-22 /s/ Kevin Tang, Managing Member 2021-11-22 /s/ Kevin Tang, Managing Member of Tang Capital Management, LLC, General Partner 2021-11-22