Accession Number: | 0001567619-20-012610 |
Date: | 2020-06-23 |
Issuer: | APTOSE BIOSCIENCES INC. (APTO) |
Original Submission Date: |
WHITEHEAD WARREN
C/O APTOSE BIOSCIENCES INC.
251 CONSUMERS ROAD, SUITE 1105
TORONTO, A6 M2J 4R3
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON SHARES | 2020-06-23 | M | 1,250 | a | $1.91 | 51,250 | direct | ||
COMMON SHARES | 2020-06-23 | M | 500 | a | $1.60 | 51,750 | direct | ||
COMMON SHARES | 2020-06-23 | M | 1,250 | a | $4.22 | 53,000 | direct | ||
COMMON SHARES | 2020-06-23 | M | 10,000 | a | $1.12 | 63,000 | direct | ||
COMMON SHARES | 2020-06-23 | S | 13,000 | d | $7.08 | 50,000 | direct | ||
COMMON SHARES | 2020-06-23 | S | 5,000 | d | $7.17 | 45,000 | direct | ||
COMMON SHARES | 2020-06-24 | M | 5,000 | a | $1.02 | 50,000 | direct | ||
COMMON SHARES | 2020-06-24 | M | 7,000 | a | $2.60 | 57,000 | direct | ||
COMMON SHARES | 2020-06-24 | S | 12,000 | d | $6.73 | 45,000 | direct | ||
COMMON SHARES | 2020-06-24 | S | 5,000 | d | $6.78 | 40,000 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
DIRECTOR STOCK OPTION (RIGHT TO BUY) | 1.91 | 2020-06-23 | deemed execution date | M | 1,250 (a) | 2011-11-29 | 2021-11-29 | common shares 1,250 | $1.91 | 0 | direct | |
DIRECTOR STOCK OPTION (RIGHT TO BUY) | 1.6 | 2020-06-23 | deemed execution date | M | 500 (a) | 2012-03-09 | 2022-03-09 | common shares 500 | $1.60 | 0 | direct | |
DIRECTOR STOCK OPTION (RIGHT TO BUY) | 4.22 | 2020-06-23 | deemed execution date | M | 1,250 (a) | 2011-11-29 | 2021-11-29 | common shares 1,250 | $4.22 | 0 | direct | |
DIRECTOR STOCK OPTION (RIGHT TO BUY) | 1.12 | 2020-06-23 | deemed execution date | M | 10,000 (a) | 2017-03-28 | 2027-03-28 | common shares 10,000 | $1.12 | 0 | direct | |
DIRECTOR STOCK OPTION (RIGHT TO BUY) | 1.02 | 2020-06-24 | deemed execution date | M | 5,000 (a) | 2017-06-06 | 2027-06-06 | common shares 5,000 | $1.02 | 0 | direct | |
DIRECTOR STOCK OPTION (RIGHT TO BUY) | 2.6 | 2020-06-24 | deemed execution date | M | 7,000 (a) | 2018-01-19 | 2028-01-19 | common shares 7,000 | $2.60 | 53,000 | direct |
ID | footnote |
---|---|
f1 | converted from canadian exercise price of $2.58 using an exchange rate of 1.3516. |
f2 | converted from canadian exercise price of $2.16 using an exchange rate of 1.3516. |
f3 | converted from canadian exercise price of $5.70 using an exchange rate of 1.3516. |
f4 | converted from canadian exercise price of $1.52 using an exchange rate of 1.3516. |
f5 | converted from canadian exercise price of $1.38 using an exchange rate of 1.3516. |
f6 | converted from canadian exercise price of $3.52 using an exchange rate of 1.3516. |
f7 | the sale price of $7.08 is a weighted average price. these shares were sold in multiple transactions at prices ranging from c$9.55 to c$9.6464, 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 rages set forth in this footnote (7). the average weighted sale price of c$9.57 was converted into u.s. dollars using an exchange rate of 1.3516. |
f8 | converted from canadian sale price of $9.69 using an exchange rate of 1.3516. |
f9 | the sale price of $6.73 is a weighted average price. these shares were sold in multiple transactions at prices ranging from c$9.00 to c$9.22, 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 rages set forth in this footnote (9). the canadian average weighted sale price of $9.09 was converted to u.s. dollars using an exchange rate of 1.3516. |
f10 | converted from canadian sales price of $9.1678 using an exchange rate of 1.3516. |