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.
Aptevo Therapeutics director Grant Grady III reported a grant of 7,200 Restricted Stock Units (RSUs) in a Form 4 covering a transaction dated 08/06/2025. The RSUs convert one-for-one into common stock and are reported as direct holdings of 7,200 shares following the grant. The RSUs vest in full on the first anniversary of the grant.
The form is signed by attorney-in-fact SoYoung Kwon on 08/08/2025, and the filing shows a $0 price for the RSUs.
Aptevo Therapeutics reported a compensation-related equity award to Dirk Huebner, the companys SVP and Chief Medical Officer. On 08/06/2025 Mr. Huebner was granted 11,500 Restricted Stock Units (RSUs) that convert on a one-for-one basis into common stock, reflecting a potential issuance of 11,500 shares upon settlement.
The RSUs vest in full on the first anniversary of the grant, so the shares become deliverable only after that one-year vesting period. The filing shows the ownership form as direct and the RSUs carry a $0.00 exercise/conversion price, indicating a straight equity award rather than a purchase-based option.
Aptevo Therapeutics director John Niederhuber was reported to have acquired 7,200 restricted stock units (RSUs) on 08/06/2025. Each RSU converts one-for-one into common stock, and the transaction is recorded as an acquisition at a $0 price, indicating no cash was paid for the award. The filing shows the resulting beneficial interest as 7,200 RSUs held in a direct ownership form.
The RSUs are described to vest in full on the first anniversary of the grant, at which point they will convert into 7,200 common shares if the vesting conditions are satisfied. The Form 4 is filed by a single reporting person and contains only this equity award; it does not provide information on total outstanding shares or percentage ownership, so the document alone does not quantify dilution or ownership percentage.
Jeffrey G. Lamothe, identified as EVP and COO of Aptevo Therapeutics (APVO), was granted 17,300 restricted stock units (RSUs) on 08/06/2025. Each RSU converts one-for-one into common stock, the grant is recorded as an acquisition of derivative securities at a reported price of $0.00, and the filing shows 17,300 shares of direct beneficial ownership following the transaction.
The RSUs vest in full on the first anniversary of the grant date, so conversion into common shares is contingent on that vesting event. The Form 4 discloses this equity award and the resulting change in the reporting person's beneficial ownership for SEC transparency.
Aptevo Therapeutics' President and CEO, Marvin L. White, was granted 30,000 Restricted Stock Units (RSUs) with a transaction date of 08/06/2025. The RSUs convert one-for-one into common stock and are reported as direct beneficial ownership. The awards vest in full on the first anniversary of the grant, at which time 30,000 common shares become issuable.
Aptevo Therapeutics director Barbara Lopez Kunz was granted 7,200 Restricted Stock Units (RSUs) on 08/06/2025. Each RSU converts one-for-one into common stock and the award vests in full on the first anniversary of the grant date. The reported position is held directly and the RSUs are recorded with a $0 per-share conversion price as described in the filing.
Aptevo Therapeutics officer SoYoung Kwon received a grant of 11,500 restricted stock units (RSUs) reported with a transaction date of 08/06/2025. Each RSU converts one-for-one into common stock and the RSUs vest in full on the first anniversary of the grant, creating the potential issuance of 11,500 common shares at no cash price. The reported ownership following the transaction is direct. This disclosure reflects a routine equity-based compensation award to an officer rather than a cash transaction.
Aptevo Therapeutics director Harsanyi Zsolt was granted 7,200 restricted stock units (RSUs) on 08/06/2025. Each RSU converts one-for-one into common stock and is reported as a direct beneficial interest. The award carries a $0 price and vests in full on the first anniversary of the grant, meaning the holder would receive 7,200 common shares if vesting conditions are met. The reporting form lists a single reporting person and the grant was executed by an attorney-in-fact on behalf of the reporting person.
Aptevo Therapeutics Inc. (APVO) filed a prospectus covering up to 8,250,825 shares reserved for issuance to YA II PN, Ltd. under a Standby Equity Purchase Agreement that commits YA to purchase up to $25.0 million of common stock over a up-to-36-month Commitment Period ending June 16, 2028 (or earlier if fully drawn). YA will purchase Advance Shares at a price equal to 96% of the lowest of three daily VWAPs in the applicable pricing period. The company paid a $25,000 structuring fee and agreed to a 2.00% commitment fee on the $25.0 million Commitment Amount, payable in five quarterly installments.
As of June 30, 2025, 3,224,156 shares were outstanding; if all 8,250,825 shares were issued they would represent approximately 72% of outstanding shares as of July 25, 2025. The Purchase Agreement contains an Ownership Limitation (9.99% beneficial ownership) and previously included an Exchange Cap (151,755 shares) that was removed following stockholder approval on July 24, 2025. The prospectus discloses Nasdaq listing risks, the company’s 1-for-20 reverse split effective May 23, 2025, recent net losses reported for 2024, and an auditor explanatory paragraph regarding going concern uncertainty.