Aptose Biosciences Files S-1/A Amendment

TL;DR

Aptose (APTO) filed an S-1/A, updating its SEC registration. Keep an eye on their next moves.

AI Summary

Aptose Biosciences Inc. filed an S-1/A amendment on October 31, 2024, related to its registration statement filed under the Securities Act of 1933. The company, formerly known as Lorus Therapeutics Inc. and Imutec Pharma Inc., is incorporated in Canada and has its principal executive offices in Toronto. This filing is an amendment to a previous registration, indicating ongoing capital-raising or reporting activities.

Why It Matters

This filing is an update to Aptose Biosciences' registration statement, which is crucial for investors to understand the company's current financial and operational status as it potentially seeks to raise capital or comply with regulatory requirements.

Risk Assessment

Risk Level: medium — S-1/A filings often indicate a company is seeking to raise capital or undergo significant corporate changes, which inherently carry risks for investors.

Key Numbers

• 333-281201 — SEC File Number (Identifies the specific registration filing with the SEC.)
• 20241031 — Filing Date (The date the amendment was submitted to the SEC.)

Key Players & Entities

• Aptose Biosciences Inc. (company) — Registrant
• Lorus Therapeutics Inc. (company) — Former company name
• Imutec Pharma Inc (company) — Former company name
• 333-281201 (dollar_amount) — SEC File Number
• 20241031 (date) — Filing Date

FAQ

Key Financial Figures

• $0.3716 — rice of the common shares on Nasdaq was $0.3716 per common share and on the TSX was C$0
• $0.54 — 16 per common share and on the TSX was C$0.54 per common share. The assumed combined
• $0 — hare and accompanying Common Warrant is $0.3716, which is the last reported sale p
• $0.0001 — ne common share at an exercise price of $0.0001 per common share. Each Pre-Funded Warra
• $0.3715 — are and accompanying Common Warrant and $0.3715 per Pre-Funded Warrant and accompanying

Filing Documents

• d878566ds1a.htm (S-1/A) — 413KB
• d878566dex42.htm (EX-4.2) — 78KB
• d878566dex43.htm (EX-4.3) — 76KB
• d878566dex44.htm (EX-4.4) — 82KB
• d878566dex51.htm (EX-5.1) — 20KB
• d878566dex52.htm (EX-5.2) — 9KB
• d878566dex81.htm (EX-8.1) — 8KB
• d878566dex1023.htm (EX-10.23) — 41KB
• d878566dex1024.htm (EX-10.24) — 181KB
• d878566dex231.htm (EX-23.1) — 4KB
• d878566dexfilingfees.htm (EX-FILING FEES) — 32KB
• g878566dsp001.jpg (GRAPHIC) — 6KB
• g878566dsp002.jpg (GRAPHIC) — 3KB
• g878566g00h01.jpg (GRAPHIC) — 39KB
• g878566g00p01.jpg (GRAPHIC) — 42KB
• g878566g0801172147431.jpg (GRAPHIC) — 2KB
• g878566g1028233940492.jpg (GRAPHIC) — 4KB
• 0001193125-24-247920.txt ( ) — 1079KB

USE OF PROCEEDS

USE OF PROCEEDS 18

DILUTION

DILUTION 19 PLAN OF DISTRIBUTION 21 CERTAIN MATERIAL U.S. FEDERAL INCOME TAX CONSIDERATIONS 24 DESCRIPTION OF OUR COMMON SHARES 37 DESCRIPTION OF THE SECURITIES WE ARE OFFERING 39 DISCLOSURE OF COMMISSION POSITION ON INDEMNIFICATION FOR SECURITIES ACT LIABILITIES 43 LEGAL MATTERS 43 EXPERTS 43 WHERE YOU CAN FIND MORE INFORMATION 43 INCORPORATION OF CERTAIN INFORMATION BY REFERENCE 44 Table of Contents ABOUT THIS PROSPECTUS This prospectus, including the information incorporated by reference, is part of a registration statement that we have filed with the Securities and Exchange Commission (the SEC). You should not assume that the information contained in this prospectus is accurate on any date subsequent to the date set forth on the front cover of this prospectus or that any information we have incorporated by reference is correct on any date subsequent to the date of the document incorporated by reference, even though this prospectus is delivered or securities are sold or otherwise disposed of on a later date. It is important for you to read and consider all information contained in this prospectus, including the Information Incorporated by Reference herein, in making your investment decision. You should also read and consider the information in the documents to which we have referred you under the captions Where You Can Find More Information and Incorporation of Certain Information by Reference in this prospectus. Neither we nor the Placement Agent have authorized any dealer, salesman or other person to give any information or to make any representation other than those contained or incorporated by reference in this prospectus. You must not rely upon any information or representation not contained or incorporated by reference in this prospectus. This prospectus does not constitute an offer to sell or the solicitation of an offer to buy any of our securities other than the securities covered hereby, nor does this prospe

financial statements, or cause us to fail to meet our reporting obligations or fail to prevent fraud;

financial statements, or cause us to fail to meet our reporting obligations or fail to prevent fraud; our broad discretion in how we use the proceeds of the sale of Offered Shares our ability to expand our business through the acquisition of companies or businesses; and other risks detailed from time-to-time in our on-going filings with the SEC and Canadian securities regulators, and those which are discussed under the heading Risk Factors in this prospectus and in the documents incorporated by reference. iii Table of Contents Should one or more of these risks or uncertainties materialize, or should the assumptions described in the sections entitled Risk Factors in this prospectus and in the documents incorporated by reference underlying those forward-looking statements prove incorrect, actual results may vary materially from those described in the

forward-looking statements

forward-looking statements. More detailed information about these and other factors is included in this prospectus under the section entitled Risk Factors and in the documents incorporated by reference into this prospectus. Although we have attempted to identify factors that could cause actual actions, events or results to differ materially from those described in forward-looking statements, there may be other factors that cause actions, events or results not to be as anticipated, estimated or intended. Forward-looking statements are based upon our beliefs, estimates and opinions at the time they are made and we undertake no obligation to update forward-looking statements if these beliefs, estimates and opinions or circumstances should change, except as required by applicable law. There can be no assurance that forward-looking statements will prove to be accurate, as actual results and future events could differ materially from those anticipated in such statements. Accordingly, readers should not place undue reliance on forward-looking statements. Forward-looking statements contained in this prospectus are made as of the date of this prospectus. Forward-looking statements made in a document incorporated by reference into this prospectus are made as of the date of the original document and have not been updated by us except as expressly provided for in this prospectus. Except as required under applicable securities legislation, we undertake no obligation to publicly update or revise forward-looking cautionary statements. iv Table of Contents ENFORCEABILITY OF CIVIL LIABILITIES We are incorporated under the laws of Canada. Many of our directors and officers and the experts named in this prospectus are residents of countries

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View this S-1/A filing on SEC EDGAR