Current Report Filing (8-k)
09 November 2020 - 11:30PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to
Section 13 or 15(d)
of the Securities
Exchange Act of 1934
Date
of Report (Date of earliest event reported): November 9, 2020
APTEVO
THERAPEUTICS INC.
(Exact Name
of Registrant as Specified in its Charter)
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Delaware
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001-37746
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81-1567056
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(State
or Other Juris-
diction
of Incorporation)
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(Commission
File
Number)
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(IRS
Employer
Identification
No.)
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2401
4th Avenue, Suite 1050
Seattle,
Washington
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98121
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(Address
of Principal Executive Offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code: (206) 838-0500
Not
Applicable
(Former Name
or Former Address, if Changed Since Last Report)
Check the appropriate box below if
the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions
(see General Instruction A.2. below):
o
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Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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o
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Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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o
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Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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o
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Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to
Section 12(b) of the Act:
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Title
of each class
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Trading
Symbol(s)
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Name
of each exchange on which registered
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Common
Stock, $0.001 par value
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APVO
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The
Nasdaq Stock Market LLC
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Indicate by check mark whether the
registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter)
or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company x
If an emerging growth company,
indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or
revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. x
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Item 7.01
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Regulation FD Disclosure.
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On November 9, 2020, Aptevo
Therapeutics Inc. issued a press release announcing preliminary data in its ongoing APVO436 Phase 1 clinical trial. The full text
of the press release is furnished herewith as Exhibit 99.1.
The information in this Current
Report on Form 8-K is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities
Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liability of that section, nor
shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act,
whether made before or after the date hereof, except as expressly set forth by specific reference in such filing to this Current
Report on Form 8-K.
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Item 9.01
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Financial Statements and
Exhibits
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(d) Exhibit
SIGNATURE
Pursuant to the requirements of the
Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
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APTEVO
THERAPEUTICS INC.
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Date:
November 9, 2020
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By:
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/s/
Marvin L. White
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Marvin
L. White
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President
and Chief Executive Officer
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