Initial Statement of Beneficial Ownership (3)
07 Mars 2023 - 10:31PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Taylor Daphne |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/3/2023
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3. Issuer Name and Ticker or Trading Symbol
Aptevo Therapeutics Inc. [APVO]
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(Last)
(First)
(Middle)
C/O APTEVO THERAPEUTICS INC., 2401 4TH AVENUE, SUITE 1050 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, CFO / |
(Street)
SEATTLE, WA 98121
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 3840 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | (1) | (1) | Common Stock | 792 | (2) | D | |
Restricted Stock Unit | (3) | (3) | Common Stock | 4750 | (2) | D | |
Restricted Stock Unit | (4) | (4) | Common Stock | 13889 | (2) | D | |
Stock Option (right to buy) | (5) | 2/18/2030 | Common Stock | 2400 | $6.97 | D | |
Stock Option (right to buy) | (6) | 7/27/2030 | Common Stock | 514 | $8.56 | D | |
Stock Option (right to buy) | (6) | 7/27/2030 | Common Stock | 514 | $8.56 | D | |
Stock Option (right to buy) | (6) | 7/27/2030 | Common Stock | 516 | $8.56 | D | |
Stock Option (right to buy) | (6) | 7/27/2030 | Common Stock | 839 | $8.56 | D | |
Stock Option (right to buy) | (7) | 1/29/2031 | Common Stock | 7125 | $33.50 | D | |
Stock Option (right to buy) | (8) | 3/4/2032 | Common Stock | 4750 | $5.30 | D | |
Explanation of Responses: |
(1) | The Restricted Stock Units ("RSUs") vest in three approximately equal annual installments beginning on January 29, 2022. The RSUs were granted on January 29, 2021. As of the date of this filing, all but 792 shares had vested. |
(2) | Restricted Stock Units ("RSUs") convert into common stock, $0.001 par value per share, of the Issuer on a one-for-one basis. |
(3) | The RSUs vest in three approximately equal annual installments beginning on March 4, 2023. The RSUs were granted on June 7, 2022. |
(4) | The RSUs vest in two approximately equal annual installments beginning the day immediately prior to the annual anniversary of the grant date. The RSUs were granted on August 9, 2022. |
(5) | The option vests in three approximately equal annual installments beginning on February 18, 2021. The option was granted on February 18, 2020. |
(6) | The option vests in three approximately equal annual installments beginning on July 27, 2021. The option was granted on July 27, 2020. |
(7) | The option vests in three approximately equal annual installments beginning on January 29, 2022. The option was granted on January 29, 2021. |
(8) | The option vests in three approximately equal annual installments beginning on March 4, 2023. The option was granted on March 4, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Taylor Daphne C/O APTEVO THERAPEUTICS INC. 2401 4TH AVENUE, SUITE 1050 SEATTLE, WA 98121 |
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| SVP, CFO |
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Signatures
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/s/ SoYoung Kwon, Attorney-in-Fact | | 3/7/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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