Aptose Biosciences Inc. Files Amended 10-K for Fiscal Year Ended December 31, 2023

TL;DR

<b>Aptose Biosciences Inc. has filed an amended 10-K for the fiscal year ending December 31, 2023, confirming ongoing compliance with SEC filing requirements.</b>

AI Summary

Aptose Biosciences Inc. (APTOF) filed a Amended Annual Report (10-K/A) with the SEC on April 29, 2024. Aptose Biosciences Inc. filed an amended 10-K report for the fiscal year ending December 31, 2023. The company's common shares are traded on the Nasdaq Capital Market under the symbol APTO. Aptose Biosciences Inc. is incorporated in Canada and has its principal executive offices in Toronto, Ontario. The filing indicates the company has been subject to Section 13 or 15(d) filing requirements for the past 90 days. The company has submitted all required Interactive Data Files electronically for the preceding 12 months.

Why It Matters

For investors and stakeholders tracking Aptose Biosciences Inc., this filing contains several important signals. This amended filing ensures Aptose Biosciences Inc. maintains its compliance with SEC regulations, which is crucial for investor confidence and continued trading on the Nasdaq. The confirmation of electronic submission of Interactive Data Files suggests a commitment to transparency and adherence to modern reporting standards.

Risk Assessment

Risk Level: low — Aptose Biosciences Inc. shows low risk based on this filing. The filing is an amendment to a 10-K, indicating a routine update or correction rather than a new material event, thus posing low risk.

Analyst Insight

Monitor future filings for any substantive changes or updates related to Aptose Biosciences Inc.'s financial performance and strategic initiatives.

Key Numbers

• 2023-12-31 — Fiscal Year End (Fiscal year ended December 31, 2023)
• 001-32001 — Commission File Number (Commission File Number)
• 24892834 — Film Number (Film Number)
• 1934 Act — SEC Act (SEC Act)

Key Players & Entities

• Aptose Biosciences Inc. (company) — Registrant
• Nasdaq Capital Market (company) — Name of each exchange on which registered
• APTO (company) — Trading Symbol(s)
• 2023-12-31 (date) — Fiscal year ended
• 2024-04-29 (date) — Filed as of date
• Toronto, Ontario, Canada (location) — Address of principal executive offices

FAQ

Industry Context

Aptose Biosciences Inc. operates in the biotechnology sector, focusing on the development of novel oncology therapeutics.

Regulatory Implications

The company is subject to the reporting requirements of the Securities Exchange Act of 1934, including the filing of annual reports (10-K) and other necessary disclosures.

What Investors Should Do

1. Review the full 10-K/A filing for detailed financial statements and business operations.
2. Track Aptose Biosciences Inc.'s progress on its drug development pipeline.
3. Monitor any future amendments or updates to this filing.

Year-Over-Year Comparison

This is an amended 10-K filing, indicating a revision or supplement to a previously submitted annual report.

Key Financial Figures

• $3.7 b — usiness transactions totaling more than $3.7 billion, with healthcare focus in clinica

Filing Documents

• apto-20231231.htm (10-K/A) — 687KB
• apto-ex31_1.htm (EX-31.1) — 12KB
• apto-ex31_2.htm (EX-31.2) — 13KB
• apto-ex32_1.htm (EX-32.1) — 6KB
• apto-ex32_2.htm (EX-32.2) — 6KB
• img238830913_0.jpg (GRAPHIC) — 25KB
• img238830913_1.jpg (GRAPHIC) — 24KB
• 0000950170-24-050057.txt (&nbsp;) — 1100KB
• apto-20231231.xsd (EX-101.SCH) — 41KB
• apto-20231231_htm.xml (XML) — 10KB

DIRECTORS, EXECUTIVE OFFICERS, AND CORPORATE GOVERNANCE

ITEM 10. DIRECTORS, EXECUTIVE OFFICERS, AND CORPORATE GOVERNANCE 2

EXECUTIVE COMPENSATION

ITEM 11. EXECUTIVE COMPENSATION 14

SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS

ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS 27

CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE

ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE 29

PRINCIPAL ACCOUNTING FEES AND SERVICES

ITEM 14. PRINCIPAL ACCOUNTING FEES AND SERVICES 29 PART IV. 30

EXHIBITS, FINANCIAL STATEMENT SCHEDULES

ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES 30

Signatures

Signatures 33 i PART III

Directors, Executive Officers and Corporate Governance

Item 10. Directors, Executive Officers and Corporate Governance Name Age Position(s) Executive Officers Dr. William G. Rice 65 President, Chief Executive Officer and Chairman Dr. Rafael Bejar 53 Chief Medical Officer Fletcher Payne 61 Chief Financial Officer and Chief Business Officer Philippe Ledru(*) 57 Chief Commercial Officer Non-Employee Directors Carol G. Ashe 66 Director Dr. Denis Burger 80 Director Dr. Erich Platzer 73 Director Dr. Bernd R. Seizinger 67 Director Dr. Mark D. Vincent 71 Director Warren Whitehead 71 Director * Philippe Ledru departed the Corporation in 2024. Information about our Executive Officers Our leadership team comprises accomplished industry, financial and clinical research professionals who are dedicated to building a comprehensive anticancer drug pipeline and clinical development programs focused on targeted therapeutics directed against dysregulated oncogenic processes in patients with life-threatening hematologic malignancies. For the year ended December 31, 2023, the team included our Chairman, President and Chief Executive Officer, Dr. William G. Rice, our Senior Vice President, Chief Financial Officer and Chief Business Officer, Fletcher Payne; our Senior Vice President and Chief Medical Officer, Dr. Rafael Bejar and our Senior Vice President and Chief Commercial Officer, Philippe Ledru, who departed from the Corporation in 2024. William G. Rice, Ph.D. age 65, serves as the President, Chief Executive Officer, and Chairman of the Board of Aptose and joined the company in 2013. Prior to joining Aptose, Dr. Rice served as the President, Chief Executive Officer, and Chairman of the Board of Directors of Cylene Pharmaceuticals, Inc., a private biotechnology company from 2003 to 2013. Prior to Cylene, Dr. Rice was the founder, President, Chief Executive Officer and Director of Achillion Pharmaceuticals, Inc. from 1998 to 2003. Dr. Rice also served at the Nati

View Full Filing

View this 10-K/A filing on SEC EDGAR