UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | 10/28/2013(1) | 10/28/2023 | Common Shares | 35,417 | $ 2.61 (3) | D | |
Employee Stock Option (Right to Buy) | 12/10/2013(1) | 12/10/2023 | Common Shares | 65,136 | $ 5.48 (4) | D | |
Employee Stock Option (Right to Buy) | 01/29/2014(1) | 01/29/2024 | Common Shares | 5,281 | $ 5.21 (5) | D | |
Employee Stock Option (Right to Buy) | 04/10/2014(1) | 04/10/2024 | Common Shares | 140,000 | $ 4.49 (6) | D | |
Employee Stock Option (Right to Buy) | 06/16/2014(1) | 06/16/2024 | Common Shares | 396,129 | $ 4.27 (7) | D | |
Employee Stock Option (Right to Buy) | 06/10/2015(2) | 06/10/2025 | Common Shares | 120,000 | $ 5.21 (8) | D | |
Employee Stock Option (Right to Buy) | 03/31/2016(2) | 03/31/2026 | Common Shares | 60,000 | $ 2.86 (9) | D | |
Employee Stock Option (Right to Buy) | 03/28/2017(2) | 03/28/2027 | Common Shares | 100,000 | $ 1.14 (10) | D | |
Employee Stock Option (Right to Buy) | 06/06/2027(2) | 06/06/2027 | Common Shares | 50,000 | $ 1.03 | D | |
Employee Stock Option (Right to Buy) | 01/19/2018 | 01/19/2028 | Common Shares | 300,000 | $ 2.8 | D | |
Employee Stock Option (Right to Buy) | 01/22/2018(2) | 01/22/2028 | Common Shares | 400,000 | $ 3.07 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rice William G. C/O APTOSE BIOSCIENCES INC. 251 CONSUMERS ROAD, SUITE 1105 TORONTO, A6 M2J 4R3 |
X | Chair, President & CEO |
/s/ Janet Clennett, as attorney-in-fact for William G. Rice | 12/21/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents date of grant; options are 100% vested as of December 31, 2018. |
(2) | Represents date of grant; options vest as follows: 50% on first anniversary following date of grant; 1/3 on second anniversary following date of grant; 1/3 on third anniversary following date of grants; and 1/3 on fourth anniversary of date of grant. |
(3) | Converted from the Canadian exercise price of $3.48 using an exchange rate of Cdn$1.3354 = US$1.00. |
(4) | Converted from the Canadian exercise price of $7.32 using an exchange rate of Cdn$1.3354 = US$1.00. |
(5) | Converted from the Canadian exercise price of $6.96 using an exchange rate of Cdn$1.3354 = US$1.00. |
(6) | Converted from the Canadian exercise price of $6.00 using an exchange rate of Cdn$1.3354 = US$1.00. |
(7) | Converted from the Canadian exercise price of $5.70 using an exchange rate of Cdn$1.3354 = US$1.00. |
(8) | Converted from the Canadian exercise price of $6.96 using an exchange rate of Cdn$1.3354 = US$1.00. |
(9) | Converted from the Canadian exercise price of $3.82 using an exchange rate of Cdn$1.3354 = US$1.00. |
(10) | Converted from the Canadian exercise price of $1.52 using an exchange rate of Cdn$1.3354 = US$1.00. |
Remarks: Exhibit 24.1: Power of Attorney |