Ascentage Pharma director updates equity holdings

Ascentage Pharma Group International director Simon Dazhong Lu filed an amended ownership report that corrects and clarifies his holdings.

Accepted by SEC EDGAR 03/23/2026 - 07:19 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Ascentage Pharma Group International director Simon Dazhong Lu filed an amended ownership report that corrects and clarifies his holdings. The filing lists options over 17,965 Ordinary Shares at an exercise price of $8.1400 expiring on November 26, 2035, vesting in twelve equal monthly tranches starting November 26, 2025. It also discloses 27,965 restricted share units, each convertible into one Ordinary Share and vesting in four equal installments on November 26 of 2026, 2027, 2028 and 2029, plus 41,457 Ordinary Shares held directly. Footnotes explain that the number of Ordinary Shares and certain option details were inadvertently misstated or omitted in the original submission.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider Lu Simon Dazhong

Role Director

Type	Security	Shares	Price	Value
Holding	Options	--	--	--
Holding	Restricted share units	--	--	--
Holding	Ordinary Shares	--	--	--

Holdings: Options — 17,965 contracts (Direct); Restricted share units — 27,965 contracts (Direct); Ordinary Shares — 41,457 shares (Direct)

Footnotes (5)

1. F1. The number of Ordinary Shares were inadvertently not reported in the original submission.
2. F2. The Share Options vest in twelve (12) tranches equally on the 26th of the month starting November 26, 2025.
3. F3. The exercise price for the stock options is in HKD, and the exercise price included in the table represents conversion to USD based on the exchange rate on the date of grant.
4. F4. Each restricted stock unit (RSUs) represents a contingent right to receive one Ordinary Share of the Issuer upon vesting. The RSUs vest in four equal increments on each of 11/26/2026, 2027, 2028 and 2029.
5. F5. The number of Share Options and/or the vesting were inadvertently incorrectly stated in the original submission.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Ascentage Pharma (AAPG) amended Form 3 report for Simon Dazhong Lu?

The amended Form 3 updates and corrects Simon Dazhong Lu’s equity holdings in Ascentage Pharma. It details his options, restricted share units, and directly held Ordinary Shares, clarifying figures that were inadvertently misstated or omitted in the original filing.

How many stock options does Simon Dazhong Lu hold in Ascentage Pharma (AAPG)?

The filing reports options over 17,965 Ordinary Shares with an exercise price of $8.1400 per share. These options expire on November 26, 2035 and vest in twelve equal tranches on the 26th of each month starting November 26, 2025.

What restricted share units are disclosed for Simon Dazhong Lu in Ascentage Pharma (AAPG)?

The amended report shows 27,965 restricted share units, each representing a right to receive one Ordinary Share upon vesting. These RSUs vest in four equal increments on November 26 of 2026, 2027, 2028 and 2029, providing a staged equity compensation schedule.

How many Ascentage Pharma (AAPG) Ordinary Shares does Simon Dazhong Lu hold directly?

The document lists direct ownership of 41,457 Ordinary Shares. Footnotes state that the number of Ordinary Shares was inadvertently not reported in the original submission, and this amendment serves to provide the correct share count for his direct holdings.

What errors does the amended Form 3 correct for Ascentage Pharma (AAPG)?

Footnotes explain that the number of Ordinary Shares was inadvertently omitted and the number or vesting of share options was incorrectly stated previously. This amendment corrects those figures and clarifies the vesting terms for both the options and restricted share units.

How are the stock option exercise prices presented in the Ascentage Pharma (AAPG) filing?

The filing notes that the share option exercise price is denominated in HKD. The disclosed $8.1400 exercise price in the table reflects a conversion into USD based on the exchange rate on the original grant date.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF 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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Lu Simon Dazhong

(Last) (First) (Middle)

700 KING FARM BLVD

STE 510

(Street)

ROCKVILLE MARYLAND 20850

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
ASCENTAGE PHARMA GROUP INTERNATIONAL [ AAPG ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)
03/19/2026

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares(1)	41,457	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Options	(2)	11/26/2035	Ordinary Shares	17,965(5)	$8.14(3)	D
Restricted share units	(4)	(4)	Ordinary Shares	27,965	$0	D

Explanation of Responses:

1. The number of Ordinary Shares were inadvertently not reported in the original submission.

2. The Share Options vest in twelve (12) tranches equally on the 26th of the month starting November 26, 2025.

3. The exercise price for the stock options is in HKD, and the exercise price included in the table represents conversion to USD based on the exchange rate on the date of grant.

4. Each restricted stock unit (RSUs) represents a contingent right to receive one Ordinary Share of the Issuer upon vesting. The RSUs vest in four equal increments on each of 11/26/2026, 2027, 2028 and 2029.

5. The number of Share Options and/or the vesting were inadvertently incorrectly stated in the original submission.

Remarks:

This form is filed using a special power of attorney.

	Thomas J. Knapp	03/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 3: SEC 1473 (03-26)