Aptevo Therapeutics Inc SEC Filings

Aptevo Therapeutics disclosed that CVI Investments, Inc. and Heights Capital Management, Inc. report beneficial ownership of 357,842 shares of common stock, equal to 9.9% of the class. The reported position consists of shares issuable upon exercise of warrants; the filing shows 0 sole voting or dispositive power and 357,842 shared voting and dispositive power for the reporting persons.

The filing cites the company’s proxy indicating 3,224,156 shares outstanding as of June 20, 2025. Heights Capital is identified as the investment manager to CVI and may exercise voting and dispositive power over CVI’s holdings; both reporting persons disclaim beneficial ownership except for their pecuniary interest. The statement includes a certification that the securities were not acquired to change or influence control of the issuer.

Ayrton Capital LLC, Alto Opportunity Master Fund, SPC – Segregated Master Portfolio B, and Waqas Khatri report beneficial ownership of 358,150 shares of Aptevo Therapeutics Inc. common stock (CUSIP 03835L405), representing 9.99% of the class. The reported shares are issuable on exercise of warrants held by the Reporting Persons and are subject to a 9.99% beneficial ownership blocker. The percentage calculation is based on 3,224,156 shares outstanding per the issuer's prospectus dated June 20, 2025, and the holdings are reported as of June 30, 2025. Each Reporting Person disclaims shared voting or dispositive power and reports sole voting and dispositive power over the 358,150 issuable shares. The filing includes a certification that the securities are held in the ordinary course of business and not for the purpose of changing or influencing control.

Aptevo Therapeutics (APVO) reported a net loss of $12.6 million for the six months ended June 30, 2025 and a three-month loss of $6.2 million, driven by research and development and general and administrative expenses. Cash and cash equivalents were $9.41 million at June 30, 2025, and net cash used in operating activities for the six months was $13.7 million, resulting in an accumulated deficit of $260.2 million.

The company disclosed that substantial doubt exists about its ability to continue as a going concern for the one-year period from issuance. Since quarter-end Aptevo completed multiple equity financings that raised $15.9 million and entered a $25.0 million standby equity purchase agreement, and established an ATM program (originally $50.0 million, prospectus later updated to $8.0 million available under Form S-3 limits). The company also has 12,585,033 common warrants outstanding that could generate additional proceeds if exercised.

Aptevo Therapeutics announced that it furnished a press release reporting its financial results for the period ended June 30, 2025. The press release is attached to the filing as Exhibit 99.1 and is incorporated by reference into the report. The company states the information is being furnished, not filed, and therefore is not subject to certain liabilities under the federal securities laws and will not be incorporated by reference into future SEC filings unless expressly referenced. The 8-K itself contains no financial figures or metrics; readers must consult the attached press release for the reported results.

Abdun-Nabi Daniel, identified as a director of Aptevo Therapeutics, reported the grant of 7,200 Restricted Stock Units (RSUs) with a transaction date of 08/06/2025. The filing states the RSUs convert one-for-one into common stock of the issuer.

The RSUs are reported as directly owned following the grant and are set to vest in full on the first anniversary of the grant date. The Form 4 shows no sale or disposition associated with this reported transaction and lists beneficial ownership after the transaction as 7,200 shares (upon conversion).

Aptevo Therapeutics Inc. (APVO) reports that Daphne Taylor, the company's SVP and Chief Financial Officer, acquired 11,500 Restricted Stock Units (RSUs) on 08/06/2025. The filing shows these RSUs convert one-for-one into common stock and are recorded as a direct holding following the reported transaction.

The RSUs carry a $0 price in the filing and vest in full on the first anniversary of the grant, meaning they will convert into 11,500 common shares when vested. The form reflects an insider equity grant reported under Form 4 and does not disclose the company’s total outstanding shares, so the percentage dilution from this grant cannot be determined from this filing alone.

Aptevo Therapeutics director Grant Grady III reported a grant of 7,200 Restricted Stock Units (RSUs) in a Form 4 covering a transaction dated 08/06/2025. The RSUs convert one-for-one into common stock and are reported as direct holdings of 7,200 shares following the grant. The RSUs vest in full on the first anniversary of the grant.

The form is signed by attorney-in-fact SoYoung Kwon on 08/08/2025, and the filing shows a $0 price for the RSUs.

Aptevo Therapeutics reported a compensation-related equity award to Dirk Huebner, the companys SVP and Chief Medical Officer. On 08/06/2025 Mr. Huebner was granted 11,500 Restricted Stock Units (RSUs) that convert on a one-for-one basis into common stock, reflecting a potential issuance of 11,500 shares upon settlement.

The RSUs vest in full on the first anniversary of the grant, so the shares become deliverable only after that one-year vesting period. The filing shows the ownership form as direct and the RSUs carry a $0.00 exercise/conversion price, indicating a straight equity award rather than a purchase-based option.

Aptevo Therapeutics director John Niederhuber was reported to have acquired 7,200 restricted stock units (RSUs) on 08/06/2025. Each RSU converts one-for-one into common stock, and the transaction is recorded as an acquisition at a $0 price, indicating no cash was paid for the award. The filing shows the resulting beneficial interest as 7,200 RSUs held in a direct ownership form.

The RSUs are described to vest in full on the first anniversary of the grant, at which point they will convert into 7,200 common shares if the vesting conditions are satisfied. The Form 4 is filed by a single reporting person and contains only this equity award; it does not provide information on total outstanding shares or percentage ownership, so the document alone does not quantify dilution or ownership percentage.