Initial Statement of Beneficial Ownership (3)
November 06 2020 - 3:48PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
TANG KEVIN C |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/4/2020
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3. Issuer Name and Ticker or Trading Symbol
Aptevo Therapeutics Inc. [APVO]
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(Last)
(First)
(Middle)
4747 EXECUTIVE DRIVE, SUITE 210 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 323325 | I | By LP (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The securities are beneficially owned by Tang Capital Partners, LP ("TCP"). Kevin Tang is the sole manager of Tang Capital Management, LLC ("TCM"), which is the general partner of TCP. Mr. Tang has a pecuniary interest in a portion of the shares beneficially held by TCP. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
TANG KEVIN C
4747 EXECUTIVE DRIVE
SUITE 210
SAN DIEGO, CA 92121 |
| X |
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TANG CAPITAL MANAGEMENT LLC
4747 EXECUTIVE DRIVE
SUITE 210
SAN DIEGO, CA 92121 |
| X |
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TANG CAPITAL PARTNERS LP
4747 EXECUTIVE DRIVE
SUITE 210
SAN DIEGO, CA 92121 |
| X |
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Signatures
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| /s/ Kevin Tang | | 11/6/2020 |
| **Signature of Reporting Person | Date |
| /s/ Kevin Tang, Managing Member | | 11/6/2020 |
| **Signature of Reporting Person | Date |
| /s/ Kevin Tang, Managing Member of Tang Capital Management, LLC, General Partner | | 11/6/2020 |
| **Signature of Reporting Person | Date |
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