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.
The Aptevo Therapeutics Inc. (APVO) SEC filings page on Stock Titan provides direct access to the company’s regulatory disclosures, along with AI-powered summaries to help interpret key points. As a Nasdaq-listed, clinical-stage biotechnology company focused on bispecific and trispecific immunotherapies, Aptevo uses SEC filings to report on its financial condition, capital structure, and material business developments.
Investors researching APVO can review Form 10-K annual reports and Form 10-Q quarterly reports (when available) to understand operating expenses, research and development spending, and liquidity. These periodic reports typically discuss the progress of clinical programs such as the RAINIER Phase 1b/2 trial of mipletamig in frontline acute myeloid leukemia and the development of ALG.APV-527 and other pipeline candidates built on the ADAPTIR and ADAPTIR-FLEX platforms.
Form 8-K current reports are especially relevant for Aptevo, as they disclose material events including quarterly financial results, equity financings, amendments to rights agreements, clinical milestones, and Nasdaq listing updates. Recent 8-Ks, for example, have referenced financial results for specific quarters, expansion of the CD3-engaging pipeline, and confirmation of compliance with Nasdaq stockholders’ equity requirements.
Aptevo’s registration statements, such as the Form S-1 filed in connection with a Standby Equity Purchase Agreement, provide detail on financing structures, potential share issuances, and risk factors. Proxy materials like the DEF 14A definitive proxy statement describe corporate governance matters, stock incentive plans, and stockholder approvals for actions such as reverse stock splits and equity facilities.
On Stock Titan, AI tools summarize lengthy filings to highlight items such as changes in stockholders’ equity, new financing agreements, and disclosures about the bispecific and trispecific oncology pipeline. Users can also track Form 4 insider transaction reports when filed, gaining visibility into equity transactions by Aptevo’s officers and directors.
By using this APVO filings page, investors can quickly navigate Aptevo’s SEC reporting history, from financial updates to clinical and capital markets disclosures, with AI-generated insights that clarify complex regulatory documents.
Schedule 13G shows Bank of America Corporation reports beneficial ownership of 494,341 shares of Aptevo Therapeutics Inc. common stock, representing 15.0% of the outstanding class based on 3,287,918 shares. The holdings are reported as shared voting and shared dispositive power for 494,341 shares; no sole voting or dispositive power is claimed. The filing states the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control.
Bank of America Corporation, together with Bank of America N.A. and BofA Securities, Inc., filed a joint Form 4 to report that their combined beneficial ownership in Aptevo Therapeutics Inc. (APVO) has fallen below 10%. The filing lists the reporting entities' Charlotte, NC addresses and includes authorized signatures dated 10/03/2025. The statement explains the purpose is to indicate these entities are no longer subject to Section 16 reporting obligations because their ownership decreased under the 10% threshold.
Bank of America Corporation, together with Bank of America N.A. and BofA Securities, Inc., filed a joint Form 4 to report that their combined beneficial ownership in Aptevo Therapeutics Inc. (APVO) has fallen below 10%. The filing lists the reporting entities' Charlotte, NC addresses and includes authorized signatures dated 10/03/2025. The statement explains the purpose is to indicate these entities are no longer subject to Section 16 reporting obligations because their ownership decreased under the 10% threshold.
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 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).
Point72 entities and Steven A. Cohen disclosed beneficial ownership of 299,944 shares of Aptevo Therapeutics Inc. common stock, representing 9.1% of the class as of the close of business on September 16, 2025. The filing states Point72 Asset Management and Point72 Capital Advisors have shared voting and dispositive power over these shares through their management of Point72 Associates, while Mr. Cohen controls those entities. The statement includes a certification that the shares were not acquired to change or influence control of the issuer. The reporting parties executed a joint filing agreement (Exhibit 99.1) and provided principal business address information.
Point72 entities and Steven A. Cohen disclosed beneficial ownership of 299,944 shares of Aptevo Therapeutics Inc. common stock, representing 9.1% of the class as of the close of business on September 16, 2025. The filing states Point72 Asset Management and Point72 Capital Advisors have shared voting and dispositive power over these shares through their management of Point72 Associates, while Mr. Cohen controls those entities. The statement includes a certification that the shares were not acquired to change or influence control of the issuer. The reporting parties executed a joint filing agreement (Exhibit 99.1) and provided principal business address information.
Aptevo Therapeutics Inc. reported new clinical results from its RAINIER study. On September 16, 2025, the company announced a 100% remission rate in Cohort 3 of its Phase 1b/2 RAINIER trial. The study evaluates mipletamig, a first-in-class CD123 x CD3 bispecific antibody, combined with venetoclax and azacitidine in newly diagnosed acute myeloid leukemia patients who are not candidates for intensive chemotherapy.
The company released these data through a press release, which is included as an exhibit to this report, highlighting the importance Aptevo places on this clinical milestone in its oncology pipeline.
Aptevo Therapeutics Inc. filed a current report describing a pipeline update. On September 4, 2025, the company issued a press release announcing expansion of its anti-cancer pipeline through the filing of two provisional patents for trispecific drug candidates, APVO452 and APVO451. These candidates are being developed for prostate cancer and multiple additional solid tumor types that the company describes as having significant unmet medical needs. The press release with more scientific and development details is included as Exhibit 99.1 to the report.
L1 Capital Global Opportunities Master Fund, Ltd. reports beneficial ownership of 164,300 warrants of Aptevo Therapeutics Inc. The filing amends a prior Schedule 13G and clarifies that the reported 164,300 warrants are subject to a 4.99% beneficial ownership limitation and correspond to 4.99% of Aptevo's common stock based on 3,287,918 shares outstanding as of August 11, 2025.
The amendment notes that it does not include an additional 1,345,075 warrants that are also subject to the 4.99% limitation. The reporting entity is organized in the Cayman Islands; David Feldman and Joel Arber are identified as its directors. The filing includes a certification that the securities were not acquired to influence control of the issuer.
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.