UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

July 24, 2020

(Date of Report – date of earliest event reported)

 

 

Aptose Biosciences Inc.

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

Canada		001-32001		98-1136802
(State or Other Jurisdiction of Incorporation or Organization)		(Commission File Number)		(I.R.S. Employer Identification No.)
251 Consumers Road, Suite 1105 Toronto, Ontario M2J 4R3 Canada				M2J 4R3
(Address of Principal Executive Offices)				(Zip Code)

(647) 479-9828

(Registrant’s Telephone Number, Including Area Code)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
Common Shares, no par value		APTO		The Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☒

 

 

 

Item 8.01.

Other Events.

On July 24, 2020, Aptose Biosciences Inc. (“Aptose”) filed a material change report (“Material Change Report”) with the Canadian securities regulatory authorities on SEDAR at www.sedar.com. The Material Change Report (i) summarized Aptose’s previous announcements of the commencement and pricing of an underwritten public offering of its common shares (the “Offering”) on July 15, 2020, which were also disclosed on Current Reports on Form 8-K dated July 15, 2020 and July 16, 2020, respectively, and (ii) reported the closing of the Offering of 10,500,000 common shares on July 20, 2020 for gross proceeds of approximately $55,000,000, excluding underwriting discounts and commissions. A copy of the Material Change Report is attached hereto as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

 

Item 9.01.

Financial Statements and Exhibits.

 

(d)

Exhibits.

 

Exhibit 99.1		Material Change Report, dated July 24, 2020

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Date: July 30, 2020