APTOSE BIOSCIENCES INC
COM NEW · CUSIP 03835T200
49
institutional holders
-3 vs Q3 2022
23.0m
shares reported held*
$13.4mreported value*
6 new
12 added
11 reduced
9 sold out
net sold ≈ $975.3k (-1.7m shares)
* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($32.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $0.58. Options: 5 managers hold calls ($31.8k notional), 2 hold puts ($0).
Trends to Q4 2022
Institutional holders
Managers reporting a position, each quarter
Numbers
| Quarter | Holders |
|---|---|
| Q3 2022 | 52 |
| Q4 2022 | 49 |
Calls vs puts
Options held, notional value, last 4 quarters. P/C = puts ÷ calls
CallsPuts
Numbers
| Quarter | Calls | Puts | P/C |
|---|---|---|---|
| Q3 2022 | $38.0k | $10.0k | 0.26 |
| Q4 2022 | $31.8k | $0 | 0.00 |
Biggest buyers
| Sigma Planning Corp | Added | +170.9k |
| Telemetry Investments, L.L.C. | New | +100.0k |
| MILLENNIUM MANAGEMENT LLC | Added | +95.8k |
| Formidable Asset Management, LLC | New | +90.0k |
| Annandale Capital, LLC | Added | +90.0k |
| CITADEL ADVISORS LLC | New | +77.1k |
| Evanson Asset Management, LLC | New | +39.5k |
| WELLS FARGO & COMPANY/MN | Added | +25.0k |
| Cetera Advisors LLC | Added | +24.8k |
| RAYMOND JAMES & ASSOCIATES | Added | +23.1k |
Biggest sellers
| Nantahala Capital Management, LLC | Reduced | -836.0k |
| SANDERS MORRIS HARRIS LLC | Reduced | -631.9k |
| P.A.W. CAPITAL CORP | Sold out | -565.0k |
| MORGAN STANLEY | Reduced | -77.0k |
| DIMENSIONAL FUND ADVISORS LP | Sold out | -68.4k |
| Carlson Capital, L.P. | Reduced | -50.0k |
| Voss Capital, LP | Reduced | -50.0k |
| Virtu Financial LLC | Sold out | -33.0k |
| GROUP ONE TRADING LLC | Reduced | -28.0k |
| TWO SIGMA INVESTMENTS, LP | Reduced | -27.3k |
Biggest calls
| CITADEL ADVISORS LLC | Added | $15.2k26.2k shares |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | Added | $10.0k17.2k shares |
| SIMPLEX TRADING, LLC | Unchanged | $4.0k7.7k shares |
| GROUP ONE TRADING LLC | Reduced | $2.7k4.6k shares |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
Biggest puts
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. | Unchanged | $00 shares |
| SIMPLEX TRADING, LLC | Reduced | $0100 shares |
Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.
Major shareholders (over 5%)
Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.
| Holder | Stake |
|---|---|
Hanmi Pharmaceutical Co., Ltd.
13D · may seek influence
filed 2025-03-20
Stated purposeItem 4 of the Amended Statement is hereby amended to add the following at the end thereof: The Reporting Person previously loaned certain amounts to the Issuer pursuant to and upon the terms and subject to the conditions set forth in that certain Facility Agreement, dated as of August 27, 2024, by and between the Reporting Person and the Issuer (the "Facility Agreement"), a copy of which is attached hereto as Exhibit 99.1 and is incorporated herein by reference. On March 18, 2025, the Reporting Person and the Issuer entered into each of (i) that certain Debt Conversion and Interest Payment Agreement, dated as of March 18, 2025, by and between the Issuer and the Reporting Person (the "Conversion Agreement"), a copy of which is attached hereto as Exhibit 99.2 and is incorporated herei… Full filing |
19.9% |
Holders, Q4 2022
| Manager | Shares | Change |
|---|---|---|
| DRW Securities, LLC 1.05% of their portfolio | 8.9m $5.2m | First filing |
| Nantahala Capital Management, LLC 0.32% of their portfolio | 6.1m $3.5m | Reduced -836.0k |
| Carlson Capital, L.P. 0.09% of their portfolio | 2.0m $1.1m | Reduced -50.0k |
| Sigma Planning Corp 0.02% of their portfolio | 1.1m $620.9k | Added +170.9k |
| Annandale Capital, LLC 0.15% of their portfolio | 800.0k $464.0k | Added +90.0k |
| MORGAN STANLEY 0.00% of their portfolio | 695.5k $403.4k | Reduced -77.0k |
| GOLDMAN SACHS GROUP INC 0.00% of their portfolio | 666.6k $386.6k | Unchanged |
| Voss Capital, LP 0.06% of their portfolio | 550.0k $319.0k | Reduced -50.0k |
| RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio | 486.8k $282.0k | Reduced -9.9k |
| BNP PARIBAS FINANCIAL MARKETS 0.00% of their portfolio | 343.3k $199.1k | Added +2.7k |
| MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio | 222.9k $129.0k | Added +95.8k |
| TWO SIGMA ADVISERS, LP 0.00% of their portfolio | 113.8k $66.0k | Reduced -23.7k |
| TD Waterhouse Canada Inc. 0.00% of their portfolio | 110.3k $88.2k | Added +69 |
| Telemetry Investments, L.L.C. 0.14% of their portfolio | 100.0k $58.0k | New |
| Formidable Asset Management, LLC 0.01% of their portfolio | 90.0k $52.0k | New |
| TLS Advisors LLC 0.26% of their portfolio | 89.4k $52.0k | First filing |
| Cetera Advisors LLC 0.00% of their portfolio | 86.8k $50.4k | Added +24.8k |
| CITADEL ADVISORS LLC 0.00% of their portfolio | 77.1k $44.7k | New |
| GAGNON SECURITIES LLC 0.01% of their portfolio | 75.8k $44.0k | Added +11.4k |
| TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio | 59.3k $34.4k | Reduced -27.3k |
| TORONTO DOMINION BANK 0.00% of their portfolio | 56.9k $32.0k | Added +13.0k |
| Evanson Asset Management, LLC 0.00% of their portfolio | 39.5k $22.9k | New |
| J Arnold Wealth Management Co 0.01% of their portfolio | 37.4k $21.7k | Added +19.5k |
| WELLS FARGO & COMPANY/MN 0.00% of their portfolio | 35.7k $20.7k | Added +25.0k |
| RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio | 35.6k $20.6k | Added +23.1k |
| GROUP ONE TRADING LLC 0.00% of their portfolio | 35.6k $20.6k | Reduced -28.0k |
| GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio | 32.5k $18.0k | Unchanged |
| US BANCORP \DE\ 0.00% of their portfolio | 30.3k $17.6k | Unchanged |
| SANDERS MORRIS HARRIS LLC 0.01% of their portfolio | 25.4k $14.7k | Reduced -631.9k |
| Equius Partners, Inc. 0.00% of their portfolio | 25.0k $14.5k | Unchanged |
| TRANSCEND CAPITAL ADVISORS, LLC 0.00% of their portfolio | 24.0k $13.9k | Unchanged |
| Sequoia Financial Advisors, LLC 0.00% of their portfolio | 20.0k $11.6k | Unchanged |
| Newman Dignan & Sheerar, Inc. 0.00% of their portfolio | 18.9k $11.0k | Unchanged |
| Gleason Group, Inc. 0.00% of their portfolio | 18.2k $10.6k | Unchanged |
| WealthTrust Axiom LLC 0.00% of their portfolio | 15.0k $8.7k | Unchanged |
| INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC 0.00% of their portfolio | 15.0k $8.7k | New |
| NFSG Corp 0.00% of their portfolio | 14.5k $8.4k | Unchanged |
| ROYAL BANK OF CANADA 0.00% of their portfolio | 14.0k $8.0k | Reduced -373 |
| Warberg Asset Management LLC 0.00% of their portfolio | 11.5k $6.7k | Unchanged |
| PDS Planning, Inc 0.00% of their portfolio | 10.0k $5.8k | Unchanged |
| OSAIC HOLDINGS, INC. 0.00% of their portfolio | 6.3k $4.0k | Added +2.8k |
| HighMark Wealth Management LLC 0.00% of their portfolio | 4.5k $2.6k | Unchanged |
| Beaird Harris Wealth Management, LLC 0.00% of their portfolio | 3.8k $2.2k | Unchanged |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio | 2.0k $1.2k | Unchanged |
| Federation des caisses Desjardins du Quebec 0.00% of their portfolio | 1.6k $875 | Reduced -10.0k |
| BANK OF AMERICA CORP /DE/ 0.00% of their portfolio | 500 $290 | New |
| NATIONAL BANK OF CANADA /FI/ 0.00% of their portfolio | 37 $21 | Unchanged |
| UBS Group AG 0.00% of their portfolio | 2 $1 | Unchanged |
| CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio | 0 $0 | Unchanged |