Aptevo Therapeutics (APVO) quietly closes private funding round

Rhea-AI Filing Summary

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.

Filing Explained

The Form D does not identify any amount of the reported $3,472,683 in securities sold that has been or is proposed for payments to named executives, directors, or promoters, leaving that aspect of the offering’s use of proceeds unspecified.

Key Figures

Total Amount Sold: $3,472,683 USD Total Remaining to be Sold: $0 USD Placement Agent Expenses: $90,000 +3 more

6 metrics

Total Amount Sold $3,472,683 USD Exempt securities offering reported in the Form D

Total Remaining to be Sold $0 USD Balance of the offering after reported sales

Placement Agent Expenses $90,000 Additional expenses paid in connection with the offering

Finders' Fees $0 USD Finders’ fees reported for the offering

Exemption Relied Upon Rule 506(c) Regulation D exemption for the private offering

Date of First Sale 2026-08-12 Initial sale date for securities in this offering

Key Terms

Regulation D, Rule 506(c), placement agent, exempt offering of securities, +1 more

5 terms

Regulation D regulatory

"if the issuer is claiming a Regulation D exemption for the offering"

Regulation D is a set of rules that govern how companies can raise money from investors without going through the full process required for public stock offerings. It provides simplified options for private placements, making it easier for companies to seek investments from a smaller group of investors. For investors, it offers opportunities to invest in private companies, often with fewer restrictions, but also with different levels of risk and disclosure.

Rule 506(c) regulatory

"Rule 506(c) is selected in the Federal Exemption(s) section"

A SEC rule that lets companies publicly advertise private securities offerings, provided they sell only to accredited investors and take reasonable steps to verify buyers’ financial status. Think of it like a public event that still requires checking IDs and qualifications at the door: it widens a company’s pool of potential backers but requires stricter verification to protect less-experienced investors. For investors, it signals easier deal access but also higher due diligence responsibility.

placement agent financial

"We paid an additional $90,000 in placement agent expenses."

A placement agent is a professional or firm that helps organizations raise money from investors, such as individuals, institutions, or funds. They act like matchmakers, connecting those seeking investments with the right investors and guiding the process to ensure successful funding. For investors, they can provide access to exclusive opportunities and help navigate complex fundraising efforts.

exempt offering of securities regulatory

"FORM D Notice of Exempt Offering of Securities"

biotechnology technical

"Health Care industry group with Biotechnology selected"

Biotechnology is the use of living cells, molecules, or biological processes as tools to create products, treatments, or industrial processes—think of it as using nature’s toolbox to solve problems like disease, food production, or pollution. For investors it matters because biotech ventures can deliver big breakthroughs and rapid growth but also face long development timelines, strict regulatory checks, and binary outcomes (success or failure), so potential reward comes with significant risk and uncertainty.

FAQ

What type of securities is Aptevo Therapeutics Inc. (APVO) offering in this Form D filing?

Aptevo Therapeutics Inc. is offering equity securities and options, warrants or other rights to acquire another security in a private exempt offering under Regulation D Rule 506(c).

How much has Aptevo Therapeutics Inc. (APVO) raised in its Form D offering?

Aptevo Therapeutics Inc. reports a total amount sold of $3,472,683 USD in the exempt offering, with $0 USD remaining to be sold, indicating the full offering amount described in the notice has been placed.

When did Aptevo Therapeutics Inc. (APVO) first sell securities in this Form D offering?

The filing lists the date of first sale as 2026-08-12 for Aptevo Therapeutics Inc.’s exempt securities offering under Regulation D Rule 506(c).

Which exemption is Aptevo Therapeutics Inc. (APVO) relying on for this private offering?

Aptevo Therapeutics Inc. is relying on Rule 506(c) under Regulation D of the Securities Act for this exempt offering of securities.

Who is involved in sales compensation for Aptevo Therapeutics Inc. (APVO)’s Form D offering?

The sales compensation section names Roth Capital Partners, LLC. The filing reports $0 in finders’ fees and discloses $90,000 in placement agent expenses related to the offering.

Does Aptevo Therapeutics Inc. (APVO) report any revenues in this Form D?

In the issuer size section, Aptevo Therapeutics Inc. selects the category “No Revenues”, indicating it does not report revenues for purposes of this Form D notice.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/26/2026 - 04:06 PM Accepted by SEC EDGAR 08/26/2026 - 04:05 PM Learn about SEC filing dates

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Intentional misstatements or omissions of fact constitute federal criminal violations. See 18 U.S.C. 1001.

FORM D

Notice of Exempt Offering of Securities

OMB APPROVAL

OMB Number:			3235-0076
Estimated average burden
hours per response:			4.00

1. Issuer's Identity

CIK (Filer ID Number)

Previous Names

X None

Entity Type

0001671584

X	Corporation
	Limited Partnership
	Limited Liability Company
	General Partnership
	Business Trust
	Other (Specify)

Name of Issuer

Aptevo Therapeutics Inc.

Jurisdiction of Incorporation/Organization

DELAWARE

Year of Incorporation/Organization

X	Over Five Years Ago
	Within Last Five Years (Specify Year)
	Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer
Aptevo Therapeutics Inc.
Street Address 1		Street Address 2
2401 4th Ave.		Suite 1050
City	State/Province/Country	ZIP/PostalCode	Phone Number of Issuer
Seattle	WASHINGTON	98121	206-838-0500

3. Related Persons

Last Name	First Name	Middle Name
Lamothe	Jeffrey	G
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
White	Marvin	L
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: X Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Taylor	Daphne
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: X Executive Officer Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Niederhuber	John	E
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Abdun-Nabi	Daniel	J
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Grant III	Grady
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Harsanyi	Zsolt
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

Last Name	First Name	Middle Name
Lopez Kunz	Barbara
Street Address 1	Street Address 2
2401 4th Avenue	Suite 1050
City	State/Province/Country	ZIP/PostalCode
Seattle	WASHINGTON	98121

Relationship: Executive Officer X Director Promoter

Clarification of Response (if Necessary):

4. Industry Group

Agriculture

Banking & Financial Services

Commercial Banking

Insurance

Investing

Investment Banking

Pooled Investment Fund

Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?

Yes No

Other Banking & Financial Services

Business Services

Energy

Coal Mining

Electric Utilities

Energy Conservation

Environmental Services

Oil & Gas

Other Energy

	Health Care
	Biotechnology
	Health Insurance
	Hospitals & Physicians
	X Pharmaceuticals
	Other Health Care
	Manufacturing
	Real Estate
	Commercial
	Construction
	REITS & Finance
	Residential
	Other Real Estate

Retailing

Restaurants

Technology

Computers

Telecommunications

Other Technology

Travel

Airlines & Airports

Lodging & Conventions

Tourism & Travel Services

Other Travel

Other

5. Issuer Size

Revenue Range		OR	Aggregate Net Asset Value Range
X	No Revenues			No Aggregate Net Asset Value
	$1 - $1,000,000			$1 - $5,000,000
	$1,000,001 - $5,000,000			$5,000,001 - $25,000,000
	$5,000,001 - $25,000,000			$25,000,001 - $50,000,000
	$25,000,001 - $100,000,000			$50,000,001 - $100,000,000
	Over $100,000,000			Over $100,000,000
	Decline to Disclose			Decline to Disclose
	Not Applicable			Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

		Rule 504(b)(1) (not (i), (ii) or (iii))
		Rule 504 (b)(1)(i)
		Rule 504 (b)(1)(ii)
		Rule 504 (b)(1)(iii)
		Rule 506(b)
	X	Rule 506(c)
		Securities Act Section 4(a)(5)

Investment Company Act Section 3(c)

Section 3(c)(1) Section 3(c)(9)

Section 3(c)(2) Section 3(c)(10)

Section 3(c)(3) Section 3(c)(11)

Section 3(c)(4) Section 3(c)(12)

Section 3(c)(5) Section 3(c)(13)

Section 3(c)(6) Section 3(c)(14)

Section 3(c)(7)

7. Type of Filing

X	New Notice			Date of First Sale	2026-08-12				First Sale Yet to Occur
	Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year? Yes X No

9. Type(s) of Securities Offered (select all that apply)

X	Equity		Pooled Investment Fund Interests
	Debt		Tenant-in-Common Securities
X	Option, Warrant or Other Right to Acquire Another Security		Mineral Property Securities
	Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security		Other (describe)

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? Yes X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient	Recipient CRD Number None
Roth Capital Partners, LLC	15407
(Associated) Broker or Dealer X None	(Associated) Broker or Dealer CRD Number X None
None	None
Street Address 1	Street Address 2
888 San Clemente Drive, Suite 400
City	State/Province/Country	ZIP/Postal Code
Newport Beach	CALIFORNIA	92660
State(s) of Solicitation (select all that apply) Check "All States" or check individual States X All States	Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount	$3,472,683	USD	or Indefinite
Total Amount Sold	$3,472,683	USD
Total Remaining to be Sold	$0	USD	or Indefinite

Clarification of Response (if Necessary):

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

3

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions	$315,001	USD	Estimate
Finders' Fees	$0	USD	Estimate

Clarification of Response (if Necessary):

We paid an additional $90,000 in placement agent expenses.

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

$0

USD

Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:

• Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*

• Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against the issuer in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.

• Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer	Signature	Name of Signer	Title	Date
Aptevo Therapeutics Inc.	/s/Jeffrey G. Lamothe	Jeffrey G. Lamothe	President and Chief Executive Officer	2026-08-26

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.