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.
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.