Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-20-012610
Date:2020-06-23
Issuer: APTOSE BIOSCIENCES INC. (APTO)
Original Submission Date:

Reporting Person:

WHITEHEAD WARREN
C/O APTOSE BIOSCIENCES INC.
251 CONSUMERS ROAD, SUITE 1105 TORONTO, A6 M2J 4R3

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature 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
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
Footnotes
IDfootnote
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.
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