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  4. [Form 3/A] ASCENTAGE PHARMA GROUP INTERNATIONAL Amended Initial Statement of Beneficial Ownership

Ascentage Pharma (AAPG) director updates options and RSU holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3/A

Rhea-AI Filing Summary

ASCENTAGE PHARMA GROUP INTERNATIONAL director Lu Simon Dazhong filed an amended initial ownership report to correct previously reported equity holdings. The amendment clarifies that he holds options over 17,965 Ordinary Shares at an exercise price of $8.1400 expiring on November 26, 2035, 27,965 restricted share units tied to Ordinary Shares, and 41,457 Ordinary Shares directly. Footnotes state that the number of Ordinary Shares and certain option figures and vesting terms were inadvertently misstated or omitted in the original filing, and provide detailed vesting schedules for both the options and RSUs.

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Insider Lu Simon Dazhong
Role Director
Type Security Shares Price Value
holding Options -- -- --
holding Restricted share units -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Options — 17,965 shares (Direct); Restricted share units — 27,965 shares (Direct); Ordinary Shares — 41,457 shares (Direct)
Footnotes (1)
  1. The number of Ordinary Shares were inadvertently not reported in the original submission. The Share Options vest in twelve (12) tranches equally on the 26th of the month starting November 26, 2025. 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. 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. The number of Share Options and/or the vesting were inadvertently incorrectly stated in the original submission.
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SEC Form 3
FORM 3UNITED 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)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)41,457D
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 ExercisableExpiration DateTitleAmount or Number of Shares
Options (2)11/26/2035Ordinary Shares17,965(5)$8.14(3)D
Restricted share units (4) (4)Ordinary Shares27,965$0D
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. Knapp03/18/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What does Ascentage Pharma (AAPG) director Lu Simon Dazhong report in this Form 3/A?

The amendment reports corrected equity holdings for director Lu Simon Dazhong. It updates his Ordinary Share count, stock options, and restricted share units, and clarifies vesting schedules, after earlier figures and some Ordinary Shares were inadvertently misstated or omitted in the original ownership filing.

How many Ascentage Pharma (AAPG) stock options does Lu Simon Dazhong hold after this amendment?

He holds options over 17,965 Ordinary Shares with an exercise price of $8.1400. Footnotes explain the options vest in twelve equal monthly tranches on the 26th of each month starting November 26, 2025, and that earlier option numbers or vesting details were incorrectly stated.

What restricted share unit (RSU) holdings are disclosed for AAPG director Lu Simon Dazhong?

He is reported to hold 27,965 restricted share units linked to Ascentage Pharma Ordinary Shares. Each RSU represents a contingent right to one Ordinary Share, vesting in four equal increments on November 26 of 2026, 2027, 2028 and 2029, according to the amendment footnotes.

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

The amended filing shows direct ownership of 41,457 Ordinary Shares. A footnote explains that the number of Ordinary Shares was inadvertently not reported in the original submission, and this Form 3/A corrects that omission by reflecting the proper direct share position.

Did Lu Simon Dazhong buy or sell Ascentage Pharma (AAPG) shares in this Form 3/A?

The amendment does not report new purchases or sales; it updates holdings information. All three entries are labeled as holdings, with no transaction codes indicating buys or sells, and the transaction summary classifies activity as neutral with only holding entries reported.

What additional details about AAPG option and RSU terms are clarified in this Form 3/A?

Footnotes state the stock option exercise price was granted in HKD and shown in USD using the grant-date exchange rate. They also detail vesting schedules for options and RSUs and note prior errors in the reported number of options and vesting terms now corrected.