---
schema_version: "secwatch.filing_event.v1"
accession: "0001171843-24-002270"
form_type: "8-K"
ticker: "APTOF"
cik: "0000882361"
company_name: "Aptose Biosciences Inc."
filed_at: "2024-04-26T23:59:59+00:00"
generated_at: "2026-06-03T07:01:54.912112+00:00"
event_type: "regulatory"
sentiment: "neutral"
materiality_score: 0.55
calibrated_materiality_score: 0.55
confidence: "high"
source: SEC EDGAR
---

# Nasdaq confirms Aptose regained compliance with Listing Rule 5635(d) after warrant amendment

## Summary
- Aptose and Hanmi amended warrant to cap exercise at 19.99% of outstanding shares without shareholder approval.
- Hanmi received 2,339,181 warrants at $1.71/share, exercisable for 5 years from issuance.
- Nasdaq Staff determined compliance with Rule 5635(d) regained; matter closed.
- Original violation stemmed from Jan 25, 2024 Hanmi transaction that issued >20% shares at a discount.

## SEC filing metadata
- accession: 0001171843-24-002270
- form_type: 8-K
- ticker: APTOF
- cik: 0000882361
- company_name: Aptose Biosciences Inc.
- filed_at: 2024-04-26T23:59:59+00:00
- event_type: regulatory
- sentiment: neutral
- materiality_score: 0.55
- calibrated_materiality_score: 0.55
- confidence: high
- sec_items: 1.01, 3.02, 8.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/882361/000117184324002270/0001171843-24-002270-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/882361/000117184324002270/f8k_042624.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001171843-24-002270
- JSON: https://secwatch.observer/filing/0001171843-24-002270.json
- Plain text: https://secwatch.observer/filing/0001171843-24-002270.txt

## Key facts
- Material Agreements
  Aptose Biosciences Inc. amended Amended and Restated Warrant to Purchase Common Shares with Hanmi Pharmaceutical Co., Ltd. valued at 2,339,181 warrants at $1.71 per share (effective 2024-04-24).
  - Action: amendment
  - Agreement: equity purchase
  - Counterparty: Hanmi Pharmaceutical Co., Ltd.
  - Value: 2,339,181 warrants at $1.71 per share
  - Effective: 2024-04-24
  source text: On April 24, 2024, Aptose Biosciences Inc. (the “ Company ”) entered into an Amended and Restated Warrant to Purchase Common Shares (the “ Amended Warrant Agreement ”) with Hanmi Pharmaceutical Co., Ltd. (“ Hanmi ”) in order to comply with Listing Rule 5635 of The Nasdaq Stock Market LLC (“ Nasdaq ”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/882361/000117184324002270/0001171843-24-002270-index.htm

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