---
schema_version: "secwatch.filing_event.v1"
accession: "0001171843-24-001127"
form_type: "8-K"
ticker: "APTOF"
cik: "0000882361"
company_name: "Aptose Biosciences Inc."
filed_at: "2024-03-01T23:59:59+00:00"
generated_at: "2026-06-05T05:58:36.680003+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.7
calibrated_materiality_score: 0.7
confidence: "high"
source: SEC EDGAR
---

# Aptose receives Nasdaq deficiency notice for stock issuance without shareholder approval

## Summary
- Nasdaq notified Aptose on Feb 29, 2024 that the Hanmi stock issuance violated Rule 5635(d) by issuing >20% of common shares at a discount without shareholder approval.
- Company has 45 days, until April 14, 2024, to submit a plan to regain compliance.
- If Nasdaq accepts the plan, an extension of up to 180 days from the deficiency letter may be granted.
- No immediate effect on listing; APTO continues trading on Nasdaq and TSX under symbol APS.
- Aptose believes the transaction complied with rules and intends to work with Nasdaq, but no assurance of regaining compliance.

## SEC filing metadata
- accession: 0001171843-24-001127
- form_type: 8-K
- ticker: APTOF
- cik: 0000882361
- company_name: Aptose Biosciences Inc.
- filed_at: 2024-03-01T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.7
- calibrated_materiality_score: 0.7
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/882361/000117184324001127/0001171843-24-001127-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/882361/000117184324001127/f8k_030124.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001171843-24-001127
- JSON: https://secwatch.observer/filing/0001171843-24-001127.json
- Plain text: https://secwatch.observer/filing/0001171843-24-001127.txt

## Key facts
- Listing & Compliance Notices
  Aptose Biosciences Inc. received a nasdaq deficiency notice notice regarding other (rules 5635(d)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Rules: 5635(d)
  source text: February 29, 2024, Aptose Biosciences Inc. (the “Company”) received a deficiency letter (the “Deficiency Letter”) from the Nasdaq Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that the Company’s recent issuance of securities to Hanmi Pharmaceutical Co., Ltd. (the “Hanmi Transaction”) violated 5635(d) because the Company did not obtain shareholder approval prior to such issuance. Nasdaq stated that completion of the Hanmi Transaction involved the issuance of greater than 20% of the issued and outstanding common shares of the Company at a disco
  evidence_url: https://www.sec.gov/Archives/edgar/data/882361/000117184324001127/0001171843-24-001127-index.htm

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