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.
CVI Investments, Inc. and Heights Capital Management, Inc. report beneficial ownership of Aptevo Therapeutics Inc. common stock through warrants. They report beneficial ownership of 83,854 Shares, representing 6.3% of Aptevo’s common stock based on 1,246,105 Shares outstanding as indicated in the company’s Form 10-Q filed on May 13, 2026.
The reported position consists entirely of Shares issuable upon exercise of warrants, which are subject to a 9.99% beneficial ownership limitation. Heights Capital Management acts as investment manager to CVI Investments and may be deemed to share voting and dispositive power, while both parties disclaim beneficial ownership beyond their pecuniary interest.
Aptevo Therapeutics Inc., a clinical-stage oncology biotech, reported a net loss of $13.1 million for the six months ended June 30, 2026 and an accumulated deficit of $288.3 million. Cash and cash equivalents were $9.8 million, with net cash used in operating activities of $13.4 million over the same period, driving a decline in stockholders’ equity to $6.0 million from $17.4 million at year-end 2025.
The company states that recurring losses, negative operating cash flows, and limited cash resources raise substantial doubt about its ability to continue as a going concern for one year from issuance of the financial statements. Management discloses that existing cash is not expected to fund operations for at least that period and that additional capital will be required to advance its pipeline.
Aptevo continues development of lead candidate mipletamig in frontline AML and ALG.APV-527 in solid tumors, alongside multiple preclinical ADAPTIR and ADAPTIR-FLEX assets. Recent non-dilutive and strategic funding steps include a $1.5 million CARE Fund grant commitment for APVO451 and a 50/50 radiopharmaceutical collaboration with Niowave, accompanied by a $0.5 million equity investment. Equity financings in 2025–2026, including Standby Equity Purchase Agreements and warrant transactions, have provided cash but also created a large warrant overhang and, under August 2026 agreements, restrict further use of the SEPAs and ATM facility for 12 months after shareholder approval.
Aptevo Therapeutics Inc. reported that it released its financial results for the period ended June 30, 2026 through a press release dated August 14, 2026. The company furnished this press release as Exhibit 99.1 to a current report on Form 8-K under the results of operations and financial condition disclosure item. The company specifies that this information is being furnished, not filed, which limits its treatment under certain liability provisions and incorporation-by-reference rules in other SEC reports.
Aptevo Therapeutics Inc. entered into warrant inducement agreements and a private placement that together generated approximately $4.5 million in gross proceeds. Holders agreed to exercise in full 254,922 existing common stock warrants at a reduced exercise price of $4.03 per share.
In return, Aptevo issued new unregistered Inducement Warrants to purchase up to 1,274,610 shares at $4.03 per share, exercisable after required stockholder approval for five years. Under a Securities Purchase Agreement, the company also agreed to sell up to 861,708 common shares (or Pre-Funded Warrants in lieu of shares) at $4.03 per share plus Common Warrants to purchase up to 4,308,540 shares at the same exercise price.
Aptevo entered into a Registration Rights Agreement to register the resale of the shares and warrant shares, targeting filing by August 22, 2026 and effectiveness by September 26, 2026, subject to possible SEC full review. Roth Capital Partners acted as exclusive placement agent, earning a 7% fee on gross proceeds, and Aptevo plans to use net proceeds for working capital and general corporate purposes.
Aptevo Therapeutics Inc. director Zsolt Harsanyi reported a derivative exercise involving restricted stock units. On August 6, 2026, 400 RSUs were converted on a one-for-one basis into 400 shares of common stock, with no per-share exercise price reported. The RSU position was reduced to 0, and direct ownership of common stock increased to 400 shares. The RSUs originated from a grant made on August 6, 2025, which vested on the first anniversary of the grant date.
Aptevo Therapeutics Inc. reported that President and CEO Jeffrey G. Lamothe exercised 961 Restricted Stock Units on August 6, 2026. The RSUs converted on a one-for-one basis into 961 shares of common stock, which he now holds directly. The derivative RSU position was reduced to zero in this filing.
Aptevo Therapeutics Inc. reported that SVP & CFO Daphne Taylor exercised 638 Restricted Stock Units on August 6, 2026. The RSUs converted into 638 shares of common stock on a one-for-one basis. These RSUs originated from an August 6, 2025 grant of 11,500 RSUs (638 post-split) that vested on the first anniversary of the grant date.
Aptevo Therapeutics Inc. reported that officer SoYoung Kwon (SVP, GC, BD & Corp Affairs) exercised 638 Restricted Stock Units into 638 shares of common stock on August 6, 2026. The RSUs converted to common stock on a one-for-one basis, leaving 0 RSUs from this grant and resulting in 638 common shares held directly.
Aptevo Therapeutics Inc. officer Dirk Huebner (SVP, CMO) reported the vesting and settlement of 638 Restricted Stock Units (RSUs) into 638 shares of common stock on August 6, 2026. The RSUs, originally granted on August 6, 2025, converted to common stock on a one-for-one basis. In a related transaction, 156 shares of common stock were withheld by the issuer at $4.07 per share to satisfy tax withholding obligations on the RSU vesting.
Aptevo Therapeutics Inc. director Grant Grady III exercised 400 Restricted Stock Units (RSUs) into 400 shares of common stock on August 6, 2026. The RSUs convert into common stock on a one-for-one basis. Following the transaction, Grady directly holds 1,150 shares of Aptevo common stock, while the corresponding RSU position was reduced to zero.