Platzer Erich's Form 4 filing
Aptose Biosciences Inc. (APTO) · filed Dec 17, 2021
- Accession no.
- 0001567619-21-022229
- Filed
- Dec 17, 2021
- Trade date
- Dec 15, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market purchases total $316.9K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Platzer ErichCIK 0001275087 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 15, 2021 | Common Shares | PPurchaseAcquired | +120,000 | $1.16F1 | +$139,200 | 255,000 | Direct | |
| Dec 15, 2021 | Common Shares | PPurchaseAcquired | +20,000 | $1.20F2 | +$24,000 | 275,000 | Direct | |
| Dec 15, 2021 | Common Shares | PPurchaseAcquired | +30,000 | $1.19 | +$35,700 | 305,000 | Direct | |
| Dec 15, 2021 | Common Shares | PPurchaseAcquired | +100,000 | $1.18F3 | +$118,000 | 405,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.115 to $1.19, 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 purchased at each separate price within the ranges set forth above.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.195 to $1.20, 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 purchased at each separate price within the ranges set forth above.
Referenced by the price of 1 transaction in Table I.
- F3
The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $1.155 to $1.20, 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 purchased at each separate price within the ranges set forth above.
Referenced by the price of 1 transaction in Table I.