09/17/2026 | Press release | Distributed by Public on 09/17/2026 18:48
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $23.18 | 09/14/2026 | A | 8,000 | (2) | 09/14/2026 | CLASS A ORDINARY SHARES | 8,000 | $ 0 | 8,000 | D | ||||
| Restricted Stock Units | (3) | 09/15/2026 | M | 5,000 | (4) | (4) | CLASS A ORDINARY SHARES | 5,000 | $ 0 | 5,000 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Chen Yi-Kuei 668 ARROW GRAND CIR. SUITE 206 COVINA, CA 91772 |
X | Chief Operating Officer | ||
| /s/ Alison M. Pear, Attorney-In-Fact | 09/17/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | The reporting person is a member of the Board of Directors of Maxpro Investment Co., Ltd. and is co-founder and managing director of Maxpro Ventures Ltd. The amount reported includes a 100 share adjustment for shares previously owned but inadvertently omitted. Excludes 3,823 Class A Ordinary Shares issuable upon the exercise of warrants held directly by Maxpro Investment Co., Ltd., which were previously reported on the Form 3 filed March 18, 2026 and the Form 3/A filed April 14, 2026. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
| (2) | The stock option was granted under the Apollomics Inc. 2023 Incentive Award Plan on September 14, 2026. The option vests and becomes exercisable over a one-year period: fifty percent (50%) of the shares subject to the option vest on March 14, 2027 (six months from the grant date), and the remaining fifty percent (50%) vest on September 14, 2027 (twelve months from the grant date), subject to the reporting person's continued service to the Issuer through each applicable vesting date. |
| (3) | Each restricted stock unit represents a contingent right to receive one Class A Ordinary Share |
| (4) | RSUs were granted and previously reported on a Form 3 filed March 18, 2026 and a Form 3/A filed April 14, 2026. Of the initial RSU grant, 5,000 shares vested on each of February 9, 2026, March 15, 2026, June 15, 2026 and September 15, 2026. This transaction represents the vesting of 5,000 RSUs on September 15, 2026. |