0001567619-20-013187.txt : 20200710 0001567619-20-013187.hdr.sgml : 20200710 20200710185516 ACCESSION NUMBER: 0001567619-20-013187 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200710 FILED AS OF DATE: 20200710 DATE AS OF CHANGE: 20200710 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rice William G. CENTRAL INDEX KEY: 0001761487 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32001 FILM NUMBER: 201024073 MAIL ADDRESS: STREET 1: C/O APTOSE BIOSCIENCES INC. STREET 2: 251 CONSUMERS ROAD, SUITE 1105 CITY: TORONTO STATE: A6 ZIP: M2J 4R3 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aptose Biosciences Inc. CENTRAL INDEX KEY: 0000882361 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 251 CONSUMERS ROAD STREET 2: SUITE 1105 CITY: TORONTO STATE: A6 ZIP: M2J 4R3 BUSINESS PHONE: 647-479-9828 MAIL ADDRESS: STREET 1: 251 CONSUMERS ROAD STREET 2: SUITE 1105 CITY: TORONTO STATE: A6 ZIP: M2J 4R3 FORMER COMPANY: FORMER CONFORMED NAME: Aptose Biosciences Inc., (formerly LORUS THERAPEUTICS INC.) DATE OF NAME CHANGE: 20140905 FORMER COMPANY: FORMER CONFORMED NAME: LORUS THERAPEUTICS INC DATE OF NAME CHANGE: 19990308 FORMER COMPANY: FORMER CONFORMED NAME: IMUTEC PHARMA INC DATE OF NAME CHANGE: 19970113 4 1 doc1.xml FORM 4 X0306 4 2020-07-10 0 0000882361 Aptose Biosciences Inc. APTO 0001761487 Rice William G. C/O APTOSE BIOSCIENCES INC. 251 CONSUMERS ROAD, SUITE 1105 TORONTO A6 M2J 4R3 ONTARIO, CANADA 1 1 0 0 Chair, President & CEO Common Shares 2020-07-10 4 S 0 168891 6.05 D 297523 D The reporting person's sale of APTO common stock reported herein (see footnote 2 below) was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 3,400 shares, with the reporting person's purchase of 3,400 shares of APTO common stock at a price of $5.8244 per share on March 25, 2020. The reporting person has agreed to pay to Aptose Biosciences Inc., upon settlement of the sale, $767.04, representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs. Represents shares automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of 300,000 restricted stock units, previously reported on a Form 4/A filed with the Securities and Exchange Commission on March 10, 2020. /s/ Janet Clennett as attorney-in-fact for William G. Rice 2020-07-10