Aptevo Therapeutics Inc
For the period ended Jun 30, 2024. Filed Aug 8, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2024 · Filed Aug 8, 2024
APVO$1.13-8.9%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
Exhibit Index
| ExhibitNumber | Description |
| 4.1 | Common Warrant, dated July 1, 2024, filed as Exhibit 4.1 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 4.2 | Pre-Funded Warrant, dated July 1, 2024, filed as Exhibit 4.2 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 4.3 | Common Warrant, dated April 15, 2024, filed as Exhibit 4.1 to the Current Report on Form 8-K filed with the SEC on April 15, 2024 and incorporated herein by reference. |
| 4.4 | Pre-Funded Warrant, dated April 15, 2024, filed as Exhibit 4.2 to the Current Report on Form 8-K filed with the SEC on April 15, 2024 and incorporated herein by reference. |
| 10.1 | Placement Agency Agreement dated June 28, 2024, between the Company and Roth Capital Partners, filed as Exhibit 10.1 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.2 | Securities Purchase Agreement, dated June 28, 2024, between the Company and the purchasers party thereto, filed as Exhibit 10.2 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.3 | Form of Amended Common Warrant, dated as of July 1, 2024, between the Company and certain warrant holders, filed as Exhibit 10.3 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.4 | Form of Amended Series A Common Warrant, dated as of July 1, 2024, between the Company and certain warrant holders, filed as Exhibit 10.4 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.5 | Form of Amended Series A-1 Common Warrant, dated as of July 1, 2024, between the Company and certain warrant holders, filed as Exhibit 10.5 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.6 | Form of Amended Series A-2 Common Warrant, dated as of July 1, 2024, between the Company and certain warrant holders, filed as Exhibit 10.6 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.7 | Form of Amended Series B-1 Common Warrant, dated as of July 1, 2024, between the Company and certain warrant holders, filed as Exhibit 10.7 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.8 | Form of Amended Series B-2 Common Warrant, dated as of July 1, 2024, between the Company and certain warrant holders, filed as Exhibit 10.8 to the Current Report on Form 8-K filed with the SEC on July 1, 2024 and incorporated herein by reference. |
| 10.9 | Placement Agent Agreement, dated April 10, 2024, between the Company and Roth Capital Partners, filed as Exhibit 10.1 to the Current Report on Form 8-K filed with the SEC on April 15, 2024 and incorporated herein by reference. |
| 10.10 | Securities Purchase Agreement, dated April 10, 2024, between the Company and the purchasers party thereto, filed as Exhibit 10.2 to the Current Report on Form 8-K filed with the SEC on April 15, 2024 and incorporated herein by reference. |
| 31.1* | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes Oxley Act of 2002. |
| 31.2* | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes Oxley Act of 2002. |
| 32.1** | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 32.2** | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| Exhibit Number | Description |
|---|---|
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document |
| 101.INS* | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents |
| 104* | Cover Page Interactive Data File (formatted as Inline XBRL with applicable taxonomy extension information contained in Exhibits 101) |
- Filed herewith.
** Furnished herewith.
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