Amended Statement of Ownership (sc 13g/a)
August 10 2021 - 6:05AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO
FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 2) *
Aptose Biosciences
Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
03835T200
(CUSIP Number)
August 3, 2021
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule
pursuant to which this Schedule is filed:
☐ Rule
13d-1(b)
☒ Rule
13d-1(c)
☐ Rule
13d-1(d)
(Page 1 of 9 Pages)
----------
* The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required in the remainder of
this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise
subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No.
|
03835T200
|
13G
|
Page 2 of 9
|
1.
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
DRW Investments, LLC
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
☐
(b) ☒
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Illinois
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
8,888,275
|
|
6.
|
SHARED VOTING POWER
0
|
|
7.
|
SOLE DISPOSITIVE POWER
8,888,275
|
|
8.
|
SHARED DISPOSITIVE POWER
0
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,888,275
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
|
☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.993% (1)(2)
|
12.
|
TYPE OF REPORTING PERSON*
OO
|
__________________
(1) Based on 88,948,744 shares of the Issuer’s common stock outstanding
as of August 3, 2021, as set forth in the Issuer’s Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission
on August 3, 2021.
(2) As of August 3, 2021, DRW Investments, LLC and DRW Commodities,
LLC collectively beneficially owned more than 10% of the Issuer’s common stock.
CUSIP No.
|
03835T200
|
13G
|
Page 3 of 9
|
1.
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
DRW Commodities, LLC
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
☐
(b) ☒
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
4,162
|
|
6.
|
SHARED VOTING POWER
0
|
|
7.
|
SOLE DISPOSITIVE POWER
4,162
|
|
8.
|
SHARED DISPOSITIVE POWER
0
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,162
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
|
☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.005% (1)
|
12.
|
TYPE OF REPORTING PERSON*
OO
|
CUSIP No.
|
03835T200
|
13G
|
Page 4 of 9
|
1.
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
DRW Holdings, LLC
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
☐
(b) ☒
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
8,892,437 (3)
|
|
6.
|
SHARED VOTING POWER
0
|
|
7.
|
SOLE DISPOSITIVE POWER
8,892,437 (3)
|
|
8.
|
SHARED DISPOSITIVE POWER
0
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,892,437 (3)
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
|
☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.997% (1)(2)
|
12.
|
TYPE OF REPORTING PERSON*
OO
|
__________________
(3) Comprised of shares of common stock held by DRW Investments, LLC
and DRW Commodities, LLC.
CUSIP No.
|
03835T200
|
13G
|
Page 5 of 9
|
1.
|
NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Donald R. Wilson, Jr.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
☐
(b) ☒
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
8,892,437 (4)
|
|
6.
|
SHARED VOTING POWER
0
|
|
7.
|
SOLE DISPOSITIVE POWER
8,892,437 (4)
|
|
8.
|
SHARED DISPOSITIVE POWER
0
|
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,892,437 (4)
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
|
☐
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.997% (1)(2)
|
12.
|
TYPE OF REPORTING PERSON*
IN
|
__________________
(4) Comprised of shares of common stock held by DRW Investments, LLC
and DRW Commodities, LLC.
CUSIP No.
|
03835T200
|
13G
|
Page 6 of 9
|
Item 1(a).
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Name of Issuer:
|
|
|
|
Aptose Biosciences Inc.
|
|
|
Item 1(b).
|
Address of Issuer's Principal Executive Offices:
|
|
|
|
251 Consumers Road, Suite 1105,
Toronto, Ontario, M2J 4R3 Canada
|
|
|
Item 2(a).
|
Name of Person Filing:
|
|
|
|
DRW Investments, LLC, DRW Commodities, LLC, DRW Holdings, LLC and Donald
R. Wilson, Jr.
|
|
|
Item 2(b).
|
Address of Principal Business Office, or if None, Residence:
|
|
|
|
DRW Investments, LLC, DRW Commodities, LLC, DRW Holdings, LLC and Donald
R. Wilson, Jr., 540 West Madison Street, Suite 2500, Chicago, Illinois 60661
|
|
|
Item 2(c).
|
Citizenship:
|
|
|
|
DRW Investments, LLC - Illinois limited liability company;
DRW Commodities, LLC and DRW Holdings, LLC - Delaware limited liability
companies;
Donald R. Wilson, Jr. – United States citizen
|
|
|
Item 2(d).
|
Title of Class of Securities:
|
|
|
|
Common Stock
|
|
|
Item 2(e).
|
CUSIP Number:
|
|
|
|
03835T200
|
|
|
|
Item 3.
|
If This Statement is Filed Pursuant to
Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
|
|
|
(a)
|
☐
|
Broker or dealer registered under Section 15 of the
Exchange Act.
|
|
|
|
(b)
|
☐
|
Bank as defined in Section 3(a)(6) of the Exchange Act.
|
|
|
|
(c)
|
☐
|
Insurance company as defined in Section 3(a)(19) of
the Exchange Act.
|
|
|
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(d)
|
☐
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Investment company registered under Section 8 of the
Investment Company Act.
|
|
|
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(e)
|
☐
|
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
|
|
|
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(f)
|
☐
|
An employee benefit plan or endowment fund in accordance
with Rule 13d-1(b)(1)(ii)(F);
|
CUSIP No.
|
03835T200
|
13G
|
Page 7 of 9
|
|
|
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(g)
|
☐
|
A parent holding company or control person in accordance
with Rule 13d-1(b)(1)(ii)(G);
|
|
|
|
(h)
|
☐
|
A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act;
|
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|
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(i)
|
☐
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A church plan that is excluded from the definition
of an investment company under Section 3(c)(14) of the Investment Company Act;
|
|
|
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(j)
|
☐
|
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
|
|
|
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(k)
|
☐
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
|
If filing as a non-U.S. institution in accordance
with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: _________________
Item 4.
|
Ownership.
|
|
|
|
|
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
|
|
|
|
|
(a)
|
Amount beneficially owned**:
|
|
|
|
|
|
|
DRW Investments, LLC – 8,888,275 shares
DRW Commodities, LLC - 4,162 shares
DRW Holdings, LLC – 8,892,437 shares
Donald R. Wilson, Jr. – 8,892,437 shares
|
|
|
|
|
(b)
|
Percent of class**:
|
|
|
|
|
|
|
DRW Investments, LLC – 9.993%
DRW Commodities, LLC - 0.005%
DRW Holdings, LLC – 9.997%
Donald R. Wilson, Jr. – 9.997%
|
|
|
|
|
(c)
|
Number of shares as to which such person has**:
|
|
|
|
|
|
|
(i)
|
Sole power to vote or to direct the vote:
|
DRW Investments, LLC - 8,888,275
DRW Commodities, LLC - 4,162
DRW Holdings, LLC – 8,892,437
Donald R. Wilson, Jr. – 8,892,437
|
|
|
|
|
|
(ii)
|
Shared power to vote or to direct the vote:
|
All Reporting Persons - 0
|
|
|
|
|
|
(iii)
|
Sole power to dispose or to direct the disposition of:
|
DRW Investments, LLC - 8,888,275
DRW Commodities, LLC - 4,162
DRW Holdings, LLC – 8,892,437
Donald R. Wilson, Jr. – 8,892,437
|
|
|
|
|
|
(iv)
|
Shared power to dispose or to direct the disposition
of:
|
All Reporting Persons - 0
|
**See footnotes on cover pages which are incorporated by reference
herein.
CUSIP No.
|
03835T200
|
13G
|
Page 8 of 9
|
Item 5.
|
Ownership of Five Percent or Less of a Class.
|
|
|
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities check the following ☐.
|
|
|
|
|
|
|
Item 6.
|
Ownership of More Than Five Percent on Behalf of Another Person.
|
|
|
If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the
sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more
than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under
the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.
|
|
|
|
N/A
|
|
|
Item 7.
|
Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
|
|
|
If a parent holding company or Control person has filed this schedule,
pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification
of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d),
attach an exhibit stating the identification of the relevant subsidiary.
|
|
|
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N/A
|
|
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Item 8.
|
Identification and Classification of Members of the Group.
|
|
|
If a group has filed this schedule pursuant to ss.240.13d-1(b)(1)(ii)(J),
so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group
has filed this schedule pursuant to ss.240.13d-1(c) or ss.240.13d-1(d), attach an exhibit stating the identity of each member of the group.
|
|
|
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N/A
|
|
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Item 9.
|
Notice of Dissolution of Group.
|
|
|
Notice of dissolution of a group may be furnished as an exhibit stating
the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required,
by members of the group, in their individual capacity. See Item 5.
|
|
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N/A
|
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Item 10.
|
Certifications.
|
|
|
"By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing
the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction
having that purpose or effect, other than activities solely in connection with a nomination under §240.14a–11."
|
CUSIP No.
|
03835T200
|
13G
|
Page 9 of 9
|
SIGNATURE
After reasonable inquiry and to the best of my
knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
DRW INVESTMENTS, LLC
By: /s/ Jeffrey Levoff
Jeffrey
Levoff, Authorized Signatory
DRW COMMODITIES, LLC
By: /s/ Jeffrey Levoff
Jeffrey
Levoff, Authorized Signatory
DRW HOLDINGS, LLC
By: /s/ Jeffrey Levoff
Jeffrey
Levoff, Authorized Signatory
DONALD R. WILSON, JR.
/s/ Patricia Levy
Patricia Levy, Attorney-in-Fact
Date: August 9, 2021
Exhibit List
Exhibit A. Joint Filing Agreement.
Exhibit B. Power of Attorney (1).
(1) Power of Attorney previously filed as Exhibit 99.7 to a Schedule
13D with regard to SCG Financial Acquisition Corp. filed with the Securities and Exchange Commission on December 26, 2012 by 2012 DOOH
Investments LLC, DOOH Investment Manager LLC and Donald R. Wilson.
Exhibit A
Joint Filing Agreement
The undersigned agree that this Schedule 13G, and all amendments thereto,
relating to the Common Stock of Aptose Biosciences Inc. shall be filed on behalf of the undersigned.
DRW INVESTMENTS, LLC
By: /s/ Jeffrey Levoff
Jeffrey
Levoff, Authorized Signatory
DRW COMMODITIES, LLC
By: /s/ Jeffrey Levoff
Jeffrey
Levoff, Authorized Signatory
DRW HOLDINGS, LLC
By: /s/ Jeffrey Levoff
Jeffrey
Levoff, Authorized Signatory
DONALD R. WILSON, JR.
/s/ Patricia Levy
Patricia Levy, Attorney-in-Fact
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