Aptose Biosciences (APTO) Form 3 Aptose Biosciences / William G. Rice ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Rice William G.

(Last) (First) (Middle)

C/O APTOSE BIOSCIENCES INC.

251 CONSUMERS ROAD, SUITE 1105

(Street)

TORONTO A6 M2J 4R3

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/21/2018

3. Issuer Name and Ticker or Trading Symbol
Aptose Biosciences Inc. [ APTO ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chair, President & CEO

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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 Shares	133,014	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: 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
Employee Stock Option (Right to Buy)	10/28/2013(1)	10/28/2023	Common Shares	35,417	2.61(3)	D
Employee Stock Option (Right to Buy)	12/10/2013(1)	12/10/2023	Common Shares	65,136	5.48(4)	D
Employee Stock Option (Right to Buy)	01/29/2014(1)	01/29/2024	Common Shares	5,281	5.21(5)	D
Employee Stock Option (Right to Buy)	04/10/2014(1)	04/10/2024	Common Shares	140,000	4.49(6)	D
Employee Stock Option (Right to Buy)	06/16/2014(1)	06/16/2024	Common Shares	396,129	4.27(7)	D
Employee Stock Option (Right to Buy)	06/10/2015(2)	06/10/2025	Common Shares	120,000	5.21(8)	D
Employee Stock Option (Right to Buy)	03/31/2016(2)	03/31/2026	Common Shares	60,000	2.86(9)	D
Employee Stock Option (Right to Buy)	03/28/2017(2)	03/28/2027	Common Shares	100,000	1.14(10)	D
Employee Stock Option (Right to Buy)	06/06/2027(2)	06/06/2027	Common Shares	50,000	1.03	D
Employee Stock Option (Right to Buy)	01/19/2018	01/19/2028	Common Shares	300,000	2.8	D
Employee Stock Option (Right to Buy)	01/22/2018(2)	01/22/2028	Common Shares	400,000	3.07	D

Explanation of Responses:

1. Represents date of grant; options are 100% vested as of December 31, 2018.

2. Represents date of grant; options vest as follows: 50% on first anniversary following date of grant; 1/3 on second anniversary following date of grant; 1/3 on third anniversary following date of grants; and 1/3 on fourth anniversary of date of grant.

3. Converted from the Canadian exercise price of $3.48 using an exchange rate of Cdn$1.3354 = US$1.00.

4. Converted from the Canadian exercise price of $7.32 using an exchange rate of Cdn$1.3354 = US$1.00.

5. Converted from the Canadian exercise price of $6.96 using an exchange rate of Cdn$1.3354 = US$1.00.

6. Converted from the Canadian exercise price of $6.00 using an exchange rate of Cdn$1.3354 = US$1.00.

7. Converted from the Canadian exercise price of $5.70 using an exchange rate of Cdn$1.3354 = US$1.00.

8. Converted from the Canadian exercise price of $6.96 using an exchange rate of Cdn$1.3354 = US$1.00.

9. Converted from the Canadian exercise price of $3.82 using an exchange rate of Cdn$1.3354 = US$1.00.

10. Converted from the Canadian exercise price of $1.52 using an exchange rate of Cdn$1.3354 = US$1.00.

Remarks:

Exhibit 24.1: Power of Attorney

	/s/ Janet Clennett, as attorney-in-fact for William G. Rice	12/21/2018
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.