Chen Yi-Kuei's Form 4/A amendment
AmendedApollomics Inc. (APLM) · filed Sep 24, 2026
- Accession no.
- 0001193125-26-401341
- Filed
- Sep 24, 2026, 7:54 PM ET
- Trade date
- Sep 14-15, 2026
- Filing delay
- 10 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Sep 17, 2026
This filing lists 1 non-derivative transaction and 2 derivative transactions. It was filed 10 days after the trade.
This amendment replaces 0001193125-26-394803 (filed Sep 17, 2026).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Chen Yi-KueiCIK 0002115232 | Director, Officer (Chief Operating Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 15, 2026 | CLASS A ORDINARY SHARES | MOption exerciseAcquired | +5,000 | $0.00 | $0 | 20,100 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 14, 2026 | CLASS A ORDINARY SHARES | AGrant or awardAcquired | +8,000 | $0.00 | $0 | 8,000 | Direct | |
| Sep 15, 2026 | CLASS A ORDINARY SHARES | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 5,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The amount reported includes a 100 share adjustment for shares previously owned but inadvertently omitted.
- F2
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. 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.
- F3
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.
- F4
Each restricted stock unit represents a contingent right to receive one Class A Ordinary Share
- F5
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.
Remarks
This Form 4 is being amended to correct the expiration date of the stock option and clarify the ownership of shares now discussed in footnote (1).