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

Ascentage Pharma (AAPG) SVP and General Counsel reports options, RSUs and shares

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

Rhea-AI Filing Summary

ASCENTAGE PHARMA GROUP INTERNATIONAL executive Thomas J. Knapp, SVP and General Counsel, reported his initial ownership in a Form 3. He directly holds options over 38,938 Ordinary Shares with a USD-equivalent exercise price of 8.1400 per share, vesting in four equal installments on 11/26/2026, 2027, 2028 and 2029 and expiring on 11/26/2035. He also holds 38,938 restricted stock units, each representing one Ordinary Share and vesting on the same four dates, and 362,444 Ordinary Shares owned directly.

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Insider Knapp Thomas J
Role SVP/General Counsel
Type Security Shares Price Value
holding Options -- -- --
holding Restricted stock units -- -- --
holding Ordinary Shares -- -- --
Holdings After Transaction: Options — 38,938 shares (Direct); Restricted stock units — 38,938 shares (Direct); Ordinary Shares — 362,444 shares (Direct)
Footnotes (1)
  1. The stock options vest in four equal increments on each of 11/26/2026, 2027, 2028 and 2029. 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 and have no expiration date.
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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*
Knapp Thomas J
(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)
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP/General Counsel
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 Shares362,444D
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 (1)11/26/2035Ordinary Shares38,938$8.14(2)D
Restricted stock units (3) (3)Ordinary Shares38,938$0.00D
Explanation of Responses:
1. The stock options vest in four equal increments on each of 11/26/2026, 2027, 2028 and 2029.
2. 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.
3. 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 and have no expiration date.
Remarks:
No securities are beneficially owned.
Thomas J. Knapp03/23/2026
** 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 insider ownership did AAPG executive Thomas J. Knapp report on his Form 3?

Thomas J. Knapp reported direct ownership of 362,444 Ordinary Shares, plus derivative awards. He also disclosed options and restricted stock units that can convert into additional Ordinary Shares over time, giving detailed visibility into his equity-based compensation position.

What stock options did Thomas J. Knapp disclose in Ascentage Pharma (AAPG) Form 3?

He disclosed options over 38,938 Ordinary Shares with an exercise price of 8.1400 per share. The options vest in four equal increments on 11/26/2026, 2027, 2028 and 2029, and expire on 11/26/2035.

What restricted stock units (RSUs) does Thomas J. Knapp hold in AAPG?

He holds 38,938 restricted stock units, each representing a contingent right to receive one Ordinary Share. These RSUs vest in four equal installments on 11/26/2026, 2027, 2028 and 2029, and have no stated expiration date.

Were there any buy or sell transactions in Thomas J. Knapp’s AAPG Form 3?

No buy or sell trades were reported; the filing lists holding entries only. It serves as an initial statement of beneficial ownership, detailing existing shares, options and RSUs rather than newly executed market transactions.

How is the exercise price for Thomas J. Knapp’s AAPG options determined?

The options’ exercise price is set in HKD, but the reported 8.1400 figure reflects conversion to USD. The conversion uses the exchange rate in effect on the grant date, providing a comparable value for U.S. investors.