Welcome to our dedicated page for Aptose Bioscienc SEC filings (Ticker: APTO), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Aptose Biosciences Inc. (APTO) SEC filings page provides access to the company’s U.S. regulatory disclosures, including current reports on Form 8-K and other key documents. As a Canadian issuer with securities previously registered in the United States, Aptose uses these filings to report material events, financing arrangements, clinical milestones, and governance changes related to its precision oncology business.
Aptose describes itself in its filings as a clinical-stage precision oncology company developing a tuspetinib (TUS)-based triple drug frontline therapy for newly diagnosed acute myeloid leukemia (AML). Forms 8-K include updates on clinical trial progress, such as developments in the TUSCANY Phase 1/2 study of the TUS+VEN+AZA triplet, as well as financial and capital structure events like loan facility agreements, interest deferral arrangements with Hanmi Pharmaceutical, reverse share split plans, and committed equity and at-the-market facilities.
Regulatory filings also document auditor transitions and shareholder votes. For example, Aptose has filed reports on its prior auditor’s decision not to stand for re-appointment, the competitive selection process that led to the appointment of a new independent registered public accounting firm, and shareholder approval of that appointment. Other filings discuss material weaknesses in internal control over financial reporting related to complex financial instruments, providing context on the company’s reporting environment.
A notable document on this page is the Form 25 filed by Nasdaq Stock Market LLC, which serves as a notification of removal of Aptose’s common shares from listing and/or registration under Section 12(b) of the Securities Exchange Act of 1934. This filing identifies Nasdaq as the exchange and common shares as the affected class of securities, indicating a change in the company’s exchange listing status.
Through Stock Titan, users can review these filings alongside AI-powered summaries that highlight important sections, explain technical language, and surface items such as clinical disclosures, financing terms, auditor changes, and listing-related notices. Real-time updates from EDGAR ensure that new 8-Ks and other reports appear promptly, while structured access helps readers locate information about material agreements, direct financial obligations, and governance decisions without parsing full-length documents manually.
Aptose Biosciences (APTO) said it conducted a competitive selection to choose its independent registered public accounting firm for the fiscal year ending December 31, 2025. KPMG LLP agreed to continue reviewing the company’s interim quarterly financial results through the first two fiscal quarters of 2025. The filing includes a letter from KPMG LLP to the SEC and is signed by William G. Rice, Ph.D., President and CEO.
Aptose Biosciences Inc. reported new retention award agreements for three senior executives that would pay cash bonuses if the company undergoes a qualifying change of control. The agreements cover CEO William Rice, CFO Fletcher Payne, and Chief Medical Officer Rafael Bejar. Dr. Rice’s retention grant is $331,496.00, Mr. Payne’s is $167,058.67, and Dr. Bejar’s is $199,946.67. Each amount would be paid within five days after the closing of a defined change of control, but only if the executive is still considered “Actively Employed” at that time.
Aptose Biosciences Inc. filed a current report to furnish a company press release under Regulation FD. The report states that Aptose issued a press release dated August 18, 2025, which is attached as Exhibit 99.1 and incorporated by reference. The company also clarifies that this information is being furnished, not filed, for purposes of the Securities Exchange Act and the Securities Act, consistent with General Instruction B.2.
Aptose Biosciences Inc. is the issuer named in this Schedule 13G/A amendment reporting that Bleichroeder LP, Bleichroeder Holdings LLC and Andrew Gundlach beneficially own 41,666 common shares, representing 1.61% of the outstanding common stock (CUSIP 03835T309). The filing shows the reporting persons have sole voting and sole dispositive power over the 41,666 shares and states the shares were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control. The filing identifies Bleichroeder LP as an investment adviser registered under Section 203 and notes clients retain the right to dividends or sale proceeds. Signatures are dated 08/12/2025.
Aptose Biosciences Inc. disclosed in a Form 8-K that on August 13, 2025 it issued a press release reporting its results of operations and financial condition, which is furnished as Exhibit 99.1. The filing states the press release is furnished under General Instruction B.2 and therefore is not deemed "filed" for purposes of Section 18 of the Exchange Act and is not incorporated by reference into other filings except where expressly stated. The Form 8-K also provides a cover page interactive XBRL file as Exhibit 104. The report is signed by William G. Rice, Ph.D., Chairman, President and Chief Executive Officer.
Aptose Biosciences reported a six-month net loss of $12.6 million and held $1.298 million of cash, cash equivalents and restricted cash as of June 30, 2025. Total liabilities were $19.962 million and the company reported negative shareholders' equity of $14.4 million and an accumulated deficit of $553.6 million, with current liabilities exceeding current assets by $5.7 million. Management explicitly states substantial doubt about the company’s ability to continue as a going concern and plans to seek additional financing.
On the clinical front, the company is advancing tuspetinib in a Phase 1/2 TUSCANY trial. Ten newly diagnosed AML patients were dosed across 40 mg, 80 mg and 120 mg cohorts with complete remissions (CRs) and MRD-negativity reported at the 40 mg cohort and composite CRs reported at 80 mg and 120 mg; no dose-limiting toxicities were observed and escalation to 160 mg was announced. The company paused further development spending on luxeptinib to prioritize tuspetinib. Related-party financing with Hanmi includes a $10.0 million loan, a debt conversion of $1.538 million into 409,063 shares, and a facility up to $8.5 million with $5.6 million of advances disclosed as subsequent events.
Filing date: August 6, 2025. Aptose Biosciences, Inc. (APTO) filed a Form 8-K reporting a Regulation FD disclosure announcing a press release dated August 6, 2025, which is attached as Exhibit 99.1.
Regulatory note: The press release attached as Exhibit 99.1 is explicitly stated to not be deemed "filed" for purposes of Section 18 of the Exchange Act pursuant to General Instruction B.2. Item 9.01 lists Exhibit 99.1 (Press Release dated August 6, 2025) and Exhibit 104 (Cover Page Interactive Data File).
Company details: Commission File No. 001-32001; EIN 98-1136802; principal executive office at 66 Wellington Street West, Suite 5300, TD Bank Tower, Box 48, Toronto, Ontario M5K 1E6, Canada; phone (647) 479-9828. No securities are registered under Section 12(b). The form is signed by William G. Rice, Ph.D., Chairman, President, and Chief Executive Officer, dated August 6, 2025.
Nasdaq Stock Market LLC has submitted Form 25 to the SEC to remove Aptose Biosciences Inc. (APTO) common shares from listing and registration under Section 12(b) of the Exchange Act. The filing, dated 21 July 2025, states that both the exchange and the issuer have complied with the relevant provisions of 17 CFR 240.12d2-2 for striking or voluntarily withdrawing the securities. The notification is signed on Nasdaq’s behalf by Hearings Advisor Aravind Menon. No financial metrics, reasons for delisting, or additional corporate actions are disclosed in the document.
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