---
schema_version: "secwatch.filing_event.v1"
accession: "0001171843-23-005679"
form_type: "8-K"
ticker: "APTOF"
cik: "0000882361"
company_name: "Aptose Biosciences Inc."
filed_at: "2023-09-12T23:59:59+00:00"
generated_at: "2026-06-10T21:33:07.272821+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Aptose signs $7M investment agreement with Hanmi Pharmaceutical; first $3M tranche closed

## Summary
- First tranche of $3.0M closed at $4.448/share (premium to $4.04 minimum price) for 668,449 shares.
- Second tranche of $4.0M contingent on milestones: CofA, Lonza change orders, positive tuspetinib data by June 30, 2024.
- Investor Rights Agreement: Hanmi gets nomination right (≥10% ownership) and participation right in future offerings.
- Hanmi currently owns ~12.07% of APTO; second tranche capped at 19.99% blocker.

## SEC filing metadata
- accession: 0001171843-23-005679
- form_type: 8-K
- ticker: APTOF
- cik: 0000882361
- company_name: Aptose Biosciences Inc.
- filed_at: 2023-09-12T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 1.01, 3.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/882361/000117184323005679/0001171843-23-005679-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/882361/000117184323005679/f8k_091123.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001171843-23-005679
- JSON: https://secwatch.observer/filing/0001171843-23-005679.json
- Plain text: https://secwatch.observer/filing/0001171843-23-005679.txt

## Key facts
- Material Agreements
  Aptose Biosciences Inc. entered into Subscription Agreement with Hanmi Pharmaceutical Co., Ltd. valued at up to $7,000,000 (effective 2023-09-06).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: Hanmi Pharmaceutical Co., Ltd.
  - Value: up to $7,000,000
  - Effective: 2023-09-06
  source text: On September 6, 2023, Aptose Biosciences Inc., a Canadian corporation (the “ Corporation ”), entered into a subscription agreement (the “ Subscription Agreement ”) with Hanmi Pharmaceutical Co., Ltd., a corporation formed under the laws of the Republic of Korea (the “ Hanmi Pharmaceutical ”), pursuant to which the Corporation agreed to sell and issue to Hanmi Pharmaceutical and Hanmi Pharmaceutical agreed to purchase from the Corporation up to $7.0 million of the Corporation’s common shares
  evidence_url: https://www.sec.gov/Archives/edgar/data/882361/000117184323005679/0001171843-23-005679-index.htm
- Material Agreements
  Aptose Biosciences Inc. entered into Investor Rights Agreement with Hanmi Pharmaceutical Co., Ltd. (effective 2023-09-06).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: Hanmi Pharmaceutical Co., Ltd.
  - Effective: 2023-09-06
  source text: In connection with the Hanmi Investment, the Corporation and Hanmi Pharmaceutical entered into an Investor Rights Agreement (the “ Investor Rights Agreement ”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/882361/000117184323005679/0001171843-23-005679-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.