0001209191-22-034879.txt : 20220607 0001209191-22-034879.hdr.sgml : 20220607 20220607172550 ACCESSION NUMBER: 0001209191-22-034879 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220607 FILED AS OF DATE: 20220607 DATE AS OF CHANGE: 20220607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lamothe Jeffrey G. CENTRAL INDEX KEY: 0001679967 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37746 FILM NUMBER: 221002035 MAIL ADDRESS: STREET 1: 2401 4TH AVENUE STREET 2: SUITE 1050 CITY: SEATTLE STATE: WA ZIP: 98121 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 2022-06-07 0 0001671584 Aptevo Therapeutics Inc. APVO 0001679967 Lamothe Jeffrey G. C/O APTEVO THERAPEUTICS INC. 2401 4TH AVENUE, SUITE 1050 SEATTLE WA 98121 0 1 0 0 CFO Restricted Stock Unit 2022-06-07 4 A 0 11000 0.00 A Common Stock 11000 11000 D As previously disclosed in a Form 4 filed on March 4, 2022, the reporting person was granted 11,000 options on such date. At the time of the grant, there were insufficient shares available for issuance under the Aptevo Therapeutics Inc. 2018 Stock Incentive Plan to make the full grant of equity award to the reporting person that was approved for issuance by Aptevo Therapeutics Inc.'s Compensation Committee. As such, the equity award was split into two separate grants with the first portion of 11,000 options granted on March 4, 2022 and the second portion of 11,000 restricted stock units granted on June 7, 2022, following stockholder approval of an increase in shares available for issuance under the Aptevo Therapeutics Inc. 2018 Stock Incentive Plan (as Amended and Restated). Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis. The RSU vests in three approximately equal annual installments beginning on March 3, 2023. SoYoung Kwon, Attorney-in-Fact 2022-06-07