Welcome to our dedicated page for Aptevo Therapeutics SEC filings (Ticker: APVO), 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.
Aptevo Therapeutics Inc. filings document the regulatory record of a clinical-stage biotechnology company developing immune-oncology candidates based on ADAPTIR and ADAPTIR-FLEX platforms. Its 8-K reports record clinical updates for mipletamig in acute myeloid leukemia, annual financial results, material agreements, executive and board changes, and other public-company events.
The company’s proxy and registration filings disclose shareholder voting matters, proposed charter and administrative amendments, Nasdaq share-issuance approvals, common-stock financing arrangements, and capital-structure information related to its standby equity purchase agreement. These filings also provide formal context for governance, securities issuance mechanics, and the funding disclosures associated with Aptevo’s oncology pipeline.
Aptevo Therapeutics Inc. reported progress in its next-generation trispecific programs, optimizing several candidates for reliable, scalable manufacturing as a step toward future human testing. The company expects to enter Investigational New Drug (IND)-enabling studies for lead candidate APVO451 in the first half of 2027.
Aptevo describes trispecifics as molecules combining three functions to recognize cancer, activate immune cells and address tumor defenses. It says the manufacturing work may support additional trispecific candidates and expects to present further details at an upcoming international scientific conference. The stated development plans and timing are forward-looking statements.
Aptevo Therapeutics Inc. (APVO) reported results from its September 22, 2026 special meeting. Stockholders approved an issuance of more than 20% of the Company’s issued and outstanding common stock as of August 12, 2026 in connection with warrant reload and private placement transactions with certain holders. They also approved the Fifth Amended and Restated 2018 Stock Incentive Plan and authorization to adjourn the meeting if necessary or appropriate. A proposed certificate amendment making technical and administrative changes was not approved.
The certificate amendment received 654,005 votes for, 93,851 against, and 4,759 abstentions. The issuance proposal received 319,306 for, 100,098 against, and 4,225 abstentions; the plan received 331,590 for, 82,399 against, and 9,640 abstentions; and adjournment authorization received 639,823 for, 92,829 against, and 19,963 abstentions.
Aptevo Therapeutics Inc. (APVO) is registering up to 6,444,858 shares of common stock for resale by existing investors, all issuable upon the exercise of pre-funded warrants, common warrants and inducement warrants. These are secondary sales by selling stockholders; Aptevo will not receive proceeds from their resale.
As context, Aptevo had 1,810,215 shares outstanding as of August 21, 2026, so the registered warrant shares are large relative to current equity. The warrants generally cannot be exercised above 4.99% or 9.99% beneficial ownership caps. APVO remains listed on Nasdaq, with a reported share price of $2.60 on September 2, 2026, but discloses risks around equity dilution and potential future Nasdaq listing deficiencies, including stockholders’ equity, bid-price and market-value-of-listed-securities requirements.
Aptevo Therapeutics Inc. (APVO) reported new early clinical data for its lead candidate mipletamig in frontline acute myeloid leukemia (AML) patients with TP53 mutations, a historically hard-to-treat subgroup. In 14 evaluable patients treated with mipletamig plus venetoclax and azacitidine, 13 patients (93%) showed clinical benefit, and 11 patients (79%) achieved complete remission or complete remission with incomplete hematologic recovery, including 9 complete remissions. The composite remission rate compares with a published 41% remission rate for venetoclax plus azacitidine alone in a similar high‑risk population. The ongoing RAINIER Phase 1b/2 trial is in the dose-optimization phase, which is expected to complete by year-end, with regulatory interaction planned in the first half of 2027 to determine next steps. Mipletamig has orphan drug designation in AML, and Aptevo continues to advance a broader pipeline of bispecific and trispecific immunotherapies and radiopharmaceutical programs.
Aptevo Therapeutics Inc. (APVO) is calling a virtual special stockholder meeting on September 22, 2026 to vote on four proposals. Proposal 1 would adopt an amended and restated certificate of incorporation that consolidates prior amendments, updates the company’s address, confirms perpetual duration, incorporates the Series A Junior Participating Preferred Stock designation, and makes technical and administrative clarifications.
Proposal 2 seeks stockholder approval under Nasdaq Listing Rule 5635(d) for the potential issuance of 20% or more of existing common shares or voting power through Inducement Warrants and Common Warrants. These include 1,274,610 Inducement Warrants, 861,708 Pre-Funded Warrants, and 4,308,540 Common Warrants, each with a $4.03 exercise or purchase price. The related August 2026 transactions generated approximately $4.5 million in gross proceeds, with up to about $1.0 million of additional proceeds from exercised prior warrants. Without approval, the Inducement and Common Warrants are not exercisable and the company must keep calling meetings every 60 days while the warrants remain outstanding.
Proposal 3 would approve the Fifth Amended and Restated 2018 Stock Incentive Plan, adding 180,000 new shares (plus up to 152,360 remaining under the current plan and certain returning shares), with a new plan term through 2036 and governance features such as no repricing, minimum one-year vesting (with limited exceptions), director award caps, no tax gross-ups, and clawback provisions. Proposal 4 would allow adjournment of the meeting to solicit more proxies if needed. The board recommends voting “FOR” all four proposals.
Aptevo Therapeutics Inc. (APVO), a Delaware biotechnology company, filed a Form D for a private exempt offering under Regulation D Rule 506(c). The offering consists of equity securities and warrants or other rights to acquire securities.
The notice reports that Aptevo has sold $3,472,683 USD in this offering, with $0 remaining to be sold, and the date of first sale was August 12, 2026$0 in finders’ fees and discloses an additional $90,000 in placement agent expenses.
Aptevo Therapeutics Inc. (APVO) is calling a virtual special stockholder meeting on September 22, 2026 to vote on four proposals. Stockholders of record on August 13, 2026, when 1,801,970 common shares were outstanding, are entitled to vote.
Proposal 1 seeks approval of an amended and restated certificate of incorporation that consolidates prior amendments, updates the company address, confirms perpetual duration, incorporates the Series A Junior Participating Preferred Stock designation, and makes other technical changes.
Proposal 2 asks stockholders, under Nasdaq Listing Rule 5635(d), to approve the potential issuance of 20% or more of current voting power through common stock and warrant exercises, including Inducement Warrants and Common Warrants issued in August 2026. The related private placements generated approximately $4.5 million in gross proceeds and could add substantial new shares if exercised.
Proposal 3 would approve the Fifth Amended and Restated 2018 Stock Incentive Plan, adding 180,000 new shares (market value $496,800 at $2.76 on August 20, 2026) to the existing reserve, with total equity plan overhang projected at 4.17% after the increase. Proposal 4 would permit adjournment of the meeting to solicit additional proxies if needed. The board recommends voting “FOR” all four proposals.
Aptevo Therapeutics Inc. (APVO) filed a Form S-1 to register for resale up to 6,444,858 shares of Common Stock issuable upon exercise of outstanding pre-funded warrants, common warrants and inducement warrants held by selling stockholders. These are secondary sales; Aptevo states it will not receive any proceeds from the resale of these shares.
The registered shares comprise up to 861,708 Pre-Funded Warrant Shares, 4,308,540 Common Warrant Shares and 1,274,610 Inducement Warrant Shares. Common stock outstanding was 1,810,215 shares as of August 21, 2026, and this figure is unchanged immediately after the offering, excluding the Resale Shares. APVO trades on Nasdaq Capital Market, where the stock last closed at $2.76 per share on August 20, 2026.
Aptevo is a clinical-stage biotechnology company developing cancer immunotherapies using its proprietary ADAPTIR and ADAPTIR-FLEX platforms, with two clinical candidates (mipletamig for AML and ALG.APV-527 for solid tumors) and multiple preclinical bispecific and multi-specific antibody programs. The company highlights prior equity financings, a collaboration with Niowave in radioligand oncology, and notes continued eligibility as a smaller reporting company.
Aptevo Therapeutics Inc. (APVO) reported the results of its 2026 Annual Meeting of Stockholders held on August 21, 2026. A quorum was present and four proposals were voted on.
Stockholders elected two directors, Zsolt Harsanyi, Ph.D. and Barbara Lopez Kunz, to the board to serve until the 2029 Annual Meeting and until their successors are elected and qualified. Baker Tilly US, LLP was approved as independent registered public accounting firm for the year ending December 31, 2026. Stockholders approved, on an advisory basis, the compensation of the company’s named executive officers for 2025, and also approved Aptevo’s Fourth Amended and Restated 2018 Stock Incentive Plan.