---
schema_version: "secwatch.filing_event.v1"
accession: "0001171843-24-001877"
form_type: "8-K"
ticker: "APTOF"
cik: "0000882361"
company_name: "Aptose Biosciences Inc."
filed_at: "2024-04-05T23:59:59+00:00"
generated_at: "2026-06-04T02:03:20.699299+00:00"
event_type: "regulatory"
sentiment: "negative"
materiality_score: 0.75
calibrated_materiality_score: 0.75
confidence: "high"
source: SEC EDGAR
---

# Aptose receives Nasdaq deficiency notice for stockholders' equity below $2.5M

## Summary
- Nasdaq notified Aptose that stockholders' equity as of Dec 31, 2023 was below the $2.5M minimum.
- Company believes subsequent financings on Jan 30-31, 2024 bring equity above the threshold.
- Must submit a compliance plan by May 17, 2024; if accepted, extension up to 180 days from April 2, 2024.
- Alternative listing standards not met: market value below $35M and net income below $500K in last fiscal year.
- Failure could lead to delisting hearing; no immediate effect on Nasdaq Capital Market listing.

## SEC filing metadata
- accession: 0001171843-24-001877
- form_type: 8-K
- ticker: APTOF
- cik: 0000882361
- company_name: Aptose Biosciences Inc.
- filed_at: 2024-04-05T23:59:59+00:00
- event_type: regulatory
- sentiment: negative
- materiality_score: 0.75
- calibrated_materiality_score: 0.75
- confidence: high
- sec_items: 3.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/882361/000117184324001877/0001171843-24-001877-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/882361/000117184324001877/f8k_040524.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001171843-24-001877
- JSON: https://secwatch.observer/filing/0001171843-24-001877.json
- Plain text: https://secwatch.observer/filing/0001171843-24-001877.txt

## Key facts
- Listing & Compliance Notices
  Aptose Biosciences Inc. received a nasdaq deficiency notice notice regarding stockholders equity (rules 5550(b)(1)).
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Deficiency: stockholders equity
  - Rules: 5550(b)(1)
  source text: April 2, 2024, Aptose Biosciences Inc. (the “Company”) received a letter (the “Notification Letter”) from The Nasdaq Stock Market (“Nasdaq”) stating that the Company was not in compliance with Nasdaq Listing Rule 5550(b)(1) (the “Rule”) because the stockholders’ equity of the Company as of December 31, 2023, as reported in the Company’s Annual Report on Form 10-K filed with the SEC on March 26, 2024, was below the minimum requirement of $2,500,000. Notwithstanding the Notification Letter, the Company believes that following the closing of its financings on January 30, 2024 and January 31, 2024
  evidence_url: https://www.sec.gov/Archives/edgar/data/882361/000117184324001877/0001171843-24-001877-index.htm

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