| Accession Number: | 0001209191-21-066910 |
| Date: | 2021-11-23 |
| Issuer: | APTEVO THERAPEUTICS INC. (APVO) |
| Original Submission Date: |
TANG KEVIN C
4747 EXECUTIVE DRIVE
SUITE 210
SAN DIEGO, CA 92121
TANG CAPITAL MANAGEMENT LLC
4747 EXECUTIVE DRIVE
SUITE 210
SAN DIEGO, CA 92121
TANG CAPITAL PARTNERS LP
4747 EXECUTIVE DRIVE
SUITE 210
SAN DIEGO, CA 92121
| 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 STOCK | 2021-11-23 | S | 161,336 | d | $13.52 | 760,000 f2 | indirect | ||
| COMMON STOCK | 2021-11-23 | S | 124,509 | d | $12.45 | 635,491 f2 | indirect | ||
| COMMON STOCK | 2021-11-23 | S | 75,491 | d | $11.74 | 560,000 f2 | indirect | ||
| COMMON STOCK | 2021-11-23 | S | 149,111 | d | $11.19 | 410,889 f2 | indirect | ||
| COMMON STOCK | 2021-11-23 | S | 50,889 | d | $10.43 | 360,000 f2 | indirect | ||
| COMMON STOCK | 2021-11-23 | S | 200,000 | d | $10.07 | 160,000 f2 | indirect | ||
| COMMON STOCK | 2021-11-23 | S | 160,000 | d | $9.60 | 0 f2 | indirect |
| 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 |
|---|
| ID | footnote |
|---|---|
| f1 | the prices reported in column 4 are weighted average prices. these shares were sold in multiple transactions at prices ranging from $13.29 to $13.77. the reporting persons undertake to provide the issuer, any security holder of the issuer or the sec staff, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes 1 and 3 through 8 herein. |
| f2 | the shares are beneficially owned by tang capital partners, lp ("tcp"). kevin tang is the sole manager of tang capital management, llc ("tcm"), which is the general partner of tcp. mr. tang has a pecuniary interest in a portion of the shares beneficially held by tcp. |
| f3 | the prices reported in column 4 are weighted-average prices. these shares were sold in multiple transactions at prices ranging from $11.97 to $12.90. |
| f4 | the prices reported in column 4 are weighted-average prices. these shares were sold in multiple transactions at prices ranging from $11.59 to $11.89. |
| f5 | the prices reported in column 4 are weighted-average prices. these shares were sold in multiple transactions at prices ranging from $10.74 to $11.67. |
| f6 | the prices reported in column 4 are weighted-average prices. these shares were sold in multiple transactions at prices ranging from $10.31 to $10.64. |
| f7 | the prices reported in column 4 are weighted-average prices. these shares were sold in multiple transactions at prices ranging from $9.59 to $10.34. |
| f8 | the prices reported in column 4 are weighted-average prices. these shares were sold in multiple transactions at prices ranging from $9.50 to $10.20. |
