STOCK TITAN

[Form 3] BANK OF AMERICA CORP /DE/ Initial Statement of Beneficial Ownership

Filing Impact
(Low)
Filing Sentiment
(Neutral)
Form Type
3

Bank of America Corporation and two wholly owned subsidiaries — Bank of America N.A. and BofA Securities, Inc. — jointly filed an initial Form 3 reporting beneficial ownership in Aptevo Therapeutics Inc. (APVO). The filing shows a combined indirect holding of 27 shares of Aptevo common stock, held by the subsidiaries and attributable to the parent through ownership of those subsidiaries. The filing notes the reporting owners may have temporarily held voting and dispositive power over additional shares due to short-term stock borrowings, and clarifies the filing is not an admission of acting as a group under Section 13(d).

Bank of America Corporation e due controllate interamente — Bank of America N.A. e BofA Securities, Inc. — hanno presentato congiuntamente una prima Form 3 che riporta la proprietà beneficiaria in Aptevo Therapeutics Inc. (APVO). L'atto di deposito mostra una quota indiretta combinata di 27 azioni delle azioni comuni di Aptevo, detenute dalle controllate e attribuibile alla capogruppo tramite la loro proprietà. L'atto rileva che i soggetti rilevanti potrebbero aver temporaneamente detenuto il potere di voto e di disposizione su ulteriori azioni a causa di prestiti di breve durata delle azioni, e precisa che la presentazione non è un'ammissione di agire come gruppo ai sensi della Sezione 13(d).

Bank of America Corporation y dos subsidiarias totalmente propiedad — Bank of America N.A. y BofA Securities, Inc. — presentaron conjuntamente un Form 3 inicial reportando la titularidad beneficiosa en Aptevo Therapeutics Inc. (APVO). La presentación muestra una participación indirecta combinada de 27 acciones de las acciones comunes de Aptevo, mantenidas por las subsidiarias y attribuibles a la casa matriz a través de la propiedad de esas subsidiarias. La presentación señala que los propietarios reportados pueden haber tenido temporalmente el poder de voto y disposición sobre acciones adicionales debido a préstamos de corto plazo de acciones, y aclara que la presentación no constituye una admisión de actuar como grupo bajo la Sección 13(d).

미국은행주식회사와 그 전액 소유 2개 자회사 — Bank of America N.A. 및 BofA Securities, Inc. — 가 Aptevo Therapeutics Inc. (APVO) 의 유익소유를 보고하는 최초의 Form 3를 공동으로 제출했습니다. 이 제출서는 자회사들이 보유하고 있는 주식으로부터 모회사에 귀속되는 간접 보유분이 합산되어 Aptevo 보통주 27주를 보유하고 있음을 보여줍니다. 제출서는 보고 당사자들이 단기 주식 차입으로 인해 추가 주식에 대한 의결권 및 처분권을 일시적으로 소지했을 수 있음을 시사하며, 이 제출이 섹션 13(d) 하에 그룹으로 활동한다는 선언은 아님을 명확히 합니다.

Bank of America Corporation et deux filiales entièrement détenues — Bank of America N.A. et BofA Securities, Inc. — ont conjointement déposé un Form 3 initial déclarant la propriété bénéficiaire sur Aptevo Therapeutics Inc. (APVO). Le dépôt indique une détention indirecte combinée de 27 actions des actions ordinaires d'Aptevo, détenues par les filiales et attribuables à la société mère par le biais de la propriété de ces filiales. Le dépôt précise que les propriétaires déclarants peuvent avoir temporairement détenu le pouvoir de vote et de disposition sur des actions supplémentaires en raison de prêts à court terme d'actions, et précise que le dépôt n'est pas une admission d'agir en groupe au titre de la section 13(d).

Bank of America Corporation und zwei vollständig Tochtergesellschaften — Bank of America N.A. und BofA Securities, Inc. — haben gemeinsam einen ersten Form 3 eingereicht, der die wirtschaftliche Eigentümerschaft an Aptevo Therapeutics Inc. (APVO) meldet. Die Einreichung zeigt eine kombinierte indirekte Beteiligung von 27 Stammaktien von Aptevo, gehalten von den Tochtergesellschaften und dem Mutterunternehmen über deren Eigentum an diese Tochtergesellschaften zurechenbar. Die Einreichung bemerkt, dass die meldepflichtigen Eigentümer möglicherweise aufgrund kurzfristiger Leihgeschäfte von Aktien vorübergehend Stimm- und Verfügungsgewalt über zusätzliche Aktien hatten, und klärt, dass die Einreichung kein Gestaltungsakt als Gruppe gemäß Abschnitt 13(d) darstellt.

شركة Bank of America Corporation وشريكتان مملوكتان بالكامل معًا — Bank of America N.A. و BofA Securities, Inc. — قد قدّمتا معًا نموذج Form 3 ابتدائي للإبلاغ عن الملكية المستفيدة في Aptevo Therapeutics Inc. (APVO). تُظهر الإيداع حيازة غير مباشرة مجمعة من 27 سهماً من أسهم Aptevo العادية، مملوكة من قبل الشركات الفرعية ومنسوبة إلى الشركة الأم من خلال ملكية تلك الشركات الفرعية. وتُشير الإيداع إلى أن الجهات المُبلِّغ عنها قد تكون قد امتلكت مؤقتاً سلطة التصويت والتصرّف على أسهم إضافية نتيجة لقروض الأسهم قصيرة الأجل، وتوضح الإيداع أن ذلك ليس اعترافاً بالعمل كمجموعة بموجب القسم 13(d).

Bank of America Corporation 及其两家全资子公司 — Bank of America N.A.BofA Securities, Inc. — 共同提交了初始 Form 3,报告 Aptevo Therapeutics Inc. (APVO) 的实益拥有。该披露显示通过子公司持有并归属于母公司的共同间接持股,共 27 股 Aptevo 普通股。该文件指出报告主体可能因短期借入股票而暂时对额外股票拥有投票权和处置权,并澄清该披露并非承认按第 13(d) 条款组成一个集团的行为。

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Bank of America Corporation e due controllate interamente — Bank of America N.A. e BofA Securities, Inc. — hanno presentato congiuntamente una prima Form 3 che riporta la proprietà beneficiaria in Aptevo Therapeutics Inc. (APVO). L'atto di deposito mostra una quota indiretta combinata di 27 azioni delle azioni comuni di Aptevo, detenute dalle controllate e attribuibile alla capogruppo tramite la loro proprietà. L'atto rileva che i soggetti rilevanti potrebbero aver temporaneamente detenuto il potere di voto e di disposizione su ulteriori azioni a causa di prestiti di breve durata delle azioni, e precisa che la presentazione non è un'ammissione di agire come gruppo ai sensi della Sezione 13(d).

Bank of America Corporation y dos subsidiarias totalmente propiedad — Bank of America N.A. y BofA Securities, Inc. — presentaron conjuntamente un Form 3 inicial reportando la titularidad beneficiosa en Aptevo Therapeutics Inc. (APVO). La presentación muestra una participación indirecta combinada de 27 acciones de las acciones comunes de Aptevo, mantenidas por las subsidiarias y attribuibles a la casa matriz a través de la propiedad de esas subsidiarias. La presentación señala que los propietarios reportados pueden haber tenido temporalmente el poder de voto y disposición sobre acciones adicionales debido a préstamos de corto plazo de acciones, y aclara que la presentación no constituye una admisión de actuar como grupo bajo la Sección 13(d).

미국은행주식회사와 그 전액 소유 2개 자회사 — Bank of America N.A. 및 BofA Securities, Inc. — 가 Aptevo Therapeutics Inc. (APVO) 의 유익소유를 보고하는 최초의 Form 3를 공동으로 제출했습니다. 이 제출서는 자회사들이 보유하고 있는 주식으로부터 모회사에 귀속되는 간접 보유분이 합산되어 Aptevo 보통주 27주를 보유하고 있음을 보여줍니다. 제출서는 보고 당사자들이 단기 주식 차입으로 인해 추가 주식에 대한 의결권 및 처분권을 일시적으로 소지했을 수 있음을 시사하며, 이 제출이 섹션 13(d) 하에 그룹으로 활동한다는 선언은 아님을 명확히 합니다.

Bank of America Corporation et deux filiales entièrement détenues — Bank of America N.A. et BofA Securities, Inc. — ont conjointement déposé un Form 3 initial déclarant la propriété bénéficiaire sur Aptevo Therapeutics Inc. (APVO). Le dépôt indique une détention indirecte combinée de 27 actions des actions ordinaires d'Aptevo, détenues par les filiales et attribuables à la société mère par le biais de la propriété de ces filiales. Le dépôt précise que les propriétaires déclarants peuvent avoir temporairement détenu le pouvoir de vote et de disposition sur des actions supplémentaires en raison de prêts à court terme d'actions, et précise que le dépôt n'est pas une admission d'agir en groupe au titre de la section 13(d).

Bank of America Corporation und zwei vollständig Tochtergesellschaften — Bank of America N.A. und BofA Securities, Inc. — haben gemeinsam einen ersten Form 3 eingereicht, der die wirtschaftliche Eigentümerschaft an Aptevo Therapeutics Inc. (APVO) meldet. Die Einreichung zeigt eine kombinierte indirekte Beteiligung von 27 Stammaktien von Aptevo, gehalten von den Tochtergesellschaften und dem Mutterunternehmen über deren Eigentum an diese Tochtergesellschaften zurechenbar. Die Einreichung bemerkt, dass die meldepflichtigen Eigentümer möglicherweise aufgrund kurzfristiger Leihgeschäfte von Aktien vorübergehend Stimm- und Verfügungsgewalt über zusätzliche Aktien hatten, und klärt, dass die Einreichung kein Gestaltungsakt als Gruppe gemäß Abschnitt 13(d) darstellt.

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
BANK OF AMERICA CORP /DE/

(Last) (First) (Middle)
BANK OF AMERICA CORPORATE CENTER
100 N TRYON ST

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/30/2025
3. Issuer Name and Ticker or Trading Symbol
Aptevo Therapeutics Inc. [ APVO ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock(1)(2)(3) 27 I See Footnotes(1)(2)(3)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
BANK OF AMERICA CORP /DE/

(Last) (First) (Middle)
BANK OF AMERICA CORPORATE CENTER
100 N TRYON ST

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
BANK OF AMERICA NA

(Last) (First) (Middle)
100 NORTH TRYON STREET

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
BOFA SECURITIES, INC.

(Last) (First) (Middle)
150 N COLLEGE ST
NC1-028-28-04

(Street)
CHARLOTTE NC 28255

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. The 27 common stock shares ("Shares") reported as acquired in Table I represent Shares of APTEVO THERAPEUTICS INC.("the Issuer") beneficially owned by Bank of America N.A. ("BANA"), and BofA Securities, Inc. ("BOFAS"). BANA and BOFAS are wholly owned subsidiaries of Bank of America Corporation ("Bank of America"). The Reporting Owners may be deemed to have temporarily held voting and dispositive power over additional shares as a result of short-term stock borrowings.
2. This statement is jointly filed by Bank of America, BANA and BOFAS. Bank of America holds an indirect interest in the securities listed in Table I ("the Securities") by virtue of its indirect ownership of its subsidiaries, BANA and BOFAS.
3. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer of (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
/s/ Andres Ortiz, Authorized Signatory for Bank of America Corporation 10/03/2025
/s/ Andres Ortiz, Authorized Signatory for Bank of America N.A. 10/03/2025
/s/ Andres Ortiz, Authorized Signatory for BofA Securities, Inc. 10/03/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

FAQ

What did Bank of America disclose about Aptevo (APVO)?

The filing reports a joint initial Form 3 disclosing an indirect beneficial ownership of 27 shares of Aptevo common stock.

Which Bank of America entities are reporting ownership?

The statement is jointly filed by Bank of America Corporation, Bank of America N.A. (BANA), and BofA Securities, Inc. (BOFAS).

What is the date of the event requiring the Form 3 filing?

The Date of Event Requiring Statement reported on the form is 09/30/2025.

Does the filing indicate control over additional shares?

Yes. The filing states the reporting owners may have temporarily held voting and dispositive power over additional shares due to short-term stock borrowings.

Does the Form 3 assert the reporters are acting as a group under Section 13(d)?

No. The filing explicitly states it should not be construed as an admission that the reporting persons are acting as a group under Section 13(d).
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