Aptevo Therapeutics Inc
For the period ended Sep 30, 2024. Filed Nov 7, 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.
Sep 30, 2024 · Filed Nov 7, 2024
APVO$1.13-8.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
Exhibit Index
| ExhibitNumber | Description |
| 4.1 | Common Warrant, dated September 18, 2024, filed as Exhibit 4.1 to the Current Report on Form 8-K filed with the SEC on September 18, 2024 and incorporated herein by reference. |
| 4.2 | Pre-Funded Warrant, dated September 18, 2024, filed as Exhibit 4.2 to the Current Report on Form 8-K filed with the SEC on September 18, 2024 and incorporated herein by reference. |
| 4.3 | Amendment No. 4 to Rights Agreement, dated as of November 1, 2024, between the Company and Broadridge Corporate Issuer Solutions, Inc., as Rights Agent, filed as Exhibit 4.1 to the Current Report on Form 8-K filed with the SEC on November 4, 2024 and incorporated herein by reference. |
| 10.1 | Placement Agency Agreement dated September 16, 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 September 18, 2024 and incorporated herein by reference. |
| 10.2 | Securities Purchase Agreement, dated September 16, 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 September 18, 2024 and incorporated herein by reference. |
| 10.3 | Form of Amended Series A-1 Common Warrant, dated September 18, 2024 (originally entered into on November 9, 2023), 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 September 18, 2024 and incorporated herein by reference. |
| 10.4 | Form of Amended Series A-2 Common Warrant, dated September 18, 2024 (originally entered into on November 9, 2023), 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 September 18, 2024 and incorporated herein by reference. |
| 10.5 | Form of Amended Series B-1 Common Warrant, dated September 18, 2024 (originally entered into on November 9, 2023), 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 September 18, 2024 and incorporated herein by reference. |
| 10.6 | Form of Amended Series B-2 Common Warrant, dated September 18, 2024 (originally entered into on November 9, 2023), 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 September 18, 2024 and incorporated herein by reference. |
| 10.7 | Form of Amended Warrant, dated September 18, 2024 (originally entered into on April 15, 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 September 18, 2024 and incorporated herein by reference. |
| 10.8 | Form of Amended Warrant, dated September 18, 2024 (originally entered into on 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 September 18, 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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