0001567619-20-021613.txt : 20201228 0001567619-20-021613.hdr.sgml : 20201228 20201228180059 ACCESSION NUMBER: 0001567619-20-021613 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201222 FILED AS OF DATE: 20201228 DATE AS OF CHANGE: 20201228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Whitehead Warren CENTRAL INDEX KEY: 0001761449 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32001 FILM NUMBER: 201419446 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 2020-12-22 0 0000882361 Aptose Biosciences Inc. APTO 0001761449 Whitehead Warren C/O APTOSE BIOSCIENCES INC. 251 CONSUMERS ROAD, SUITE 1105 TORONTO A6 M2J 4R3 ONTARIO, CANADA 1 0 0 0 Common Shares 2020-12-22 4 M 0 20000 2.01 A 60000 D Common Shares 2020-12-22 4 S 0 10000 4.01 D 50000 D Common Shares 2020-12-22 4 S 0 10000 4.11 D 40000 D Director Stock Option (Right to Buy) 2.01 2020-12-22 4 M 0 20000 0 D 2019-01-02 2029-01-02 Common Shares 40000 20000 D Converted from Canadian exercise price of C$2.60 using an exchange rate of C$1.2908 = US$1.00. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.16 to C$5.1924, inclusive. The reporting person undertakes to provide to Aptose Biosciences, Inc., any security holder of Aptose Biosciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The weighted average sales price reported above was converted from the Canadian weighted average sales price of C$5.1745 using an exchange rate of C$1.2908 = US$1.00. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from C$5.2979 to C$5.3111, inclusive. The reporting person undertakes to provide to Aptose Biosciences, Inc., any security holder of Aptose Biosciences, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The weighted average sales price reported above was converted from the Canadian weighted average sales price of C$5.3003 using an exchange rate of C$1.2908 = US$1.00. The options were granted on 1/2/2019 and fully vested on 1/2/2020. /s/ Janet Clennett as attorney-in-fact for Warren Whitehead 2020-12-23