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 Inc. (NASDAQ: APVO) filed a prospectus supplement dated June 20, 2025 that updates its existing at-the-market (ATM) equity program with Roth Capital Partners. The supplement increases the remaining capacity available under the Form S-3 shelf registration to up to $8.04 million of additional common stock.
The adjustment reflects a rise in the company’s public float to $47.7 million (3,224,152 non-affiliate shares at $14.80 per share) as of June 20, 2025, which raises the one-third issuance limit permitted by General Instruction I.B.6 of Form S-3. During the prior 12-month period Aptevo already sold $7.87 million of stock under the ATM, leaving the newly disclosed capacity of $8.04 million before the 12-month ceiling of roughly $15.91 million is reached.
To date, the company has issued 481,828 shares for gross proceeds of $3.77 million at an average price of approximately $7.81 per share. The latest Nasdaq closing price was $4.17 (June 20, 2025), markedly below the $14.80 reference price used to calculate float, implying material dilution if additional shares are sold at current levels.
Aptevo cautions investors to review the risk factors in the original and prior prospectuses. No changes to use of proceeds or business strategy are disclosed; the document purely updates the share-sale capacity. Future supplements will be filed if the float increases sufficiently to permit higher issuance volumes.
Aptevo Therapeutics Inc. (NASDAQ: APVO) filed an 8-K to disclose a capital raise and several portfolio updates. On 18 June 2025 the Company signed a Securities Purchase Agreement with institutional investors for a registered direct offering (the “Offering”) that closed on 20 June 2025. The structure consisted of (i) 2,105,000 shares of common stock and (ii) pre-funded warrants for up to 360,000 shares, each sold together with five five-year common warrants (exercise price $3.25). The unit price was $3.25 for stock or $3.249 for a pre-funded warrant, reflecting the $0.0001 exercise price on the pre-funded component.
The common warrants cannot be exercised until stockholder approval is obtained under Nasdaq Capital Market rules; if approval is not obtained, the warrants become non-exercisable and have no value. The exercise price is subject to customary anti-dilution adjustments but will not reset below $0.65. Pre-funded warrants are immediately exercisable at $0.001 per share and remain outstanding until fully exercised.
The Company received net proceeds of approximately $7.45 million after deducting estimated offering expenses and a 7.0 % placement fee paid to Roth Capital Partners, LLC, which served as exclusive placement agent under a separate Placement Agency Agreement. Aptevo has agreed (1) not to issue additional equity until the earlier of stockholder approval or 60 days after closing, and (2) not to enter variable-price security agreements for three months, subject to usual exceptions.
Use of proceeds: working capital, funding of clinical programs and general corporate purposes, including continued development of its product candidates.
Pipeline communications: Concurrent press releases announced (i) data from the ongoing Phase 1b/2 RAINIER trial of CD123 × CD3 bispecific mipletamig in AML, and (ii) the addition of pre-clinical candidate APVO455, expanding the Company’s CD3-directed portfolio for hematologic and solid tumors. No efficacy or safety metrics were included in the filing.
Key takeaways for investors
- Approximately $7.45 million of fresh capital extends runway and supports clinical milestones.
- Unit structure with five leverage-creating common warrants introduces a substantial potential dilution overhang (up to 12.3 million shares) if stockholder approval is obtained and warrants are exercised.
- Failure to secure approval would render warrants valueless, potentially disappointing investors who participated for warrant upside but limiting future dilution for existing shareholders.
- Lock-up provisions are relatively short, limiting near-term additional issuance but not providing long-term protection.
- Pipeline momentum continues with new candidate APVO455 and ongoing mipletamig study, signaling R&D progress, though concrete clinical data are not yet disclosed.
Aptevo Therapeutics Inc. (NASDAQ: APVO) has filed a Rule 424(b)(4) prospectus for a registered direct offering that could raise gross proceeds of up to $8.0 million. The company will sell 2,105,000 shares of common stock and 360,000 pre-funded warrants (in lieu of shares for investors breaching beneficial-ownership limits), each bundled with five five-year common warrants, resulting in 12,325,000 common warrants overall. Every warrant carries a $3.25 exercise price but is exercisable only after required stockholder approval; without such approval the warrants have no value.
The combined offering price is $3.25, a ~37% discount to the June 18 2025 closing price of $5.13. If fully subscribed, the breakdown is as follows:
- Gross proceeds: $8,011,250
- Placement-agent fee (7%): $560,788
- Estimated company expenses (ex-fee): $275,000
- Net proceeds before expenses: $7,450,463
There is no escrow or minimum; the deal may close for any amount up to the maximum and terminates no later than June 30 2025. Roth Capital Partners is acting on a best-efforts basis and will not purchase the securities. Neither the common nor pre-funded warrants will be listed, limiting liquidity.
The offering magnifies potential dilution: including the underlying shares, up to 12.685 million additional shares (exclusive of warrant coverage) could ultimately be issued. Share, price, and warrant data reflect the 1-for-20 reverse split completed on May 23 2025.
Use-of-proceeds specifics are not provided in the excerpt, but investors are directed to the prospectus section for risk factors, capitalization, dilution analysis, and Nasdaq compliance considerations.