M&A - Aptose Biosciences Inc.

Form Type: SCHEDULE 13D/A

Filing Date: 2025-03-20

Corporate Action: Acquisition

Type: Update

Accession Number: 000089914025000439

Filing Summary: This Amendment No. 3 supplements the Schedule 13D filed on September 12, 2023, by Hanmi Pharmaceutical Co., Ltd. concerning Aptose Biosciences Inc. It reports the entry into the Conversion Agreement and the Second Amended and Restated Investor's Rights Agreement (Second A&R IRA) on March 18, 2025. Hanmi Pharmaceutical converted a loan amounting to $1,513,533.10 into 409,063 common shares at a conversion price of $3.70 per share. The Company now beneficially owns 508,710 shares, approx. 19.93% of total shares. The Second A&R IRA provides registration rights for the shares and imposes restrictions to limit ownership to under 19.99%. The Reporting Person may change future plans regarding ownership makeup based on various factors. No other recent transactions have occurred other than those detailed within the filed amendments.

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