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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Director Stock Option (Right to Buy) | $ 2.01 (1) | 12/22/2020 | M | 20,000 | 01/02/2019(4) | 01/02/2029 | Common Shares | 40,000 | $ 0 | 20,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Whitehead Warren C/O APTOSE BIOSCIENCES INC. 251 CONSUMERS ROAD, SUITE 1105 TORONTO, A6 M2J 4R3 |
X |
/s/ Janet Clennett as attorney-in-fact for Warren Whitehead | 12/23/2020 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Converted from Canadian exercise price of C$2.60 using an exchange rate of C$1.2908 = US$1.00. |
(2) | 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. |
(3) | 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. |
(4) | The options were granted on 1/2/2019 and fully vested on 1/2/2020. |