Apollomics (APLM) COO details RSU grants and Maxpro warrant stakes
Rhea-AI Filing Summary
Apollomics Inc. chief operating officer Chen Yi-Kuei filed an amended initial ownership report detailing his equity interests. He directly holds 10,000 Class A Ordinary Shares and 10,000 restricted stock units, each representing a right to one Class A Ordinary Share. The restricted stock units will vest in two equal tranches of 5,000 shares on June 15, 2026 and September 15, 2026. In addition, entities associated with him, including Maxpro Investment Co., Ltd., hold 101,248 Class A Ordinary Shares and warrants linked to 3,823 underlying Class A Ordinary Shares at an adjusted exercise price of $1,150.00 per full share, and he disclaims beneficial ownership except to the extent of his pecuniary interest.
Positive
- None.
Negative
- None.
Insider Trade Summary
4 transactions reported
Mixed
4 txns
Insider
Chen Yi-Kuei
Role
Chief Operating Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Restricted Stock Units | -- | -- | -- |
| holding | Warrants | -- | -- | -- |
| holding | Class A Ordinary Shares | -- | -- | -- |
| holding | Class A Ordinary Shares | -- | -- | -- |
Holdings After Transaction:
Restricted Stock Units — 10,000 shares (Direct);
Warrants — 3,823 shares (Indirect, By Maxpro Investment Co., Ltd.);
Class A Ordinary Shares — 101,248 shares (Indirect, By Maxpro Investment Co., Ltd.);
Class A Ordinary Shares — 10,000 shares (Direct)
Footnotes (4)
- F1. The reporting person is member of the Board of Directors of Maxpro Investment Co., Ltd. and is co-founder and managing director of Maxpro Ventures Ltd. The reporting person disclaims beneficial ownership of theses securities except to the extent of his pecuniary interest therein.
- F2. The restricted stock units will vest with respect to 5,000 shares on each of June 15, 2026 and September 15, 2026.
- F3. Each restricted stock unit represents a contingent right to receive one Class A Ordinary Share.
- F4. Reflects the adjusted exercise price of $1,150.00 per full share, as each warrant is exercisable for 0.01 Class A Ordinary Share at a price of $11.50 per warrant.
Key Figures
Direct Class A shares: 10,000 shares
Restricted stock units: 10,000 units
RSU vesting tranches: 5,000 shares each
+3 more
6 metrics
Direct Class A shares
10,000 shares
Directly held Class A Ordinary Shares following the report
Restricted stock units
10,000 units
Each RSU represents one Class A Ordinary Share
RSU vesting tranches
5,000 shares each
Vest on June 15, 2026 and September 15, 2026
Indirect Class A shares
101,248 shares
Held by Maxpro Investment Co., Ltd. associated with the reporting person
Underlying warrant shares
3,823 shares
Class A Ordinary Shares underlying warrants held indirectly
Adjusted warrant exercise price
$1,150.00 per full share
Each warrant exercisable for 0.01 share at $11.50 per warrant
Key Terms
Restricted Stock Units, Class A Ordinary Shares, pecuniary interest, warrants, +1 more
5 terms
Restricted Stock Units financial
"The reporting person holds restricted stock units that vest in two 5,000-share tranches."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
pecuniary interest financial
"The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein."
warrants financial
"Warrants are linked to 3,823 underlying Class A Ordinary Shares at an adjusted exercise price."
Warrants are special documents that give you the right to buy a company's stock at a set price before a certain date. They are often used as a way for companies to attract investors or raise money, and their value can increase if the company's stock price goes up.
exercise price financial
"Reflects the adjusted exercise price of $1,150.00 per full share."
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What insider holdings did Apollomics (APLM) COO Chen Yi-Kuei report on this Form 3/A?
Chen Yi-Kuei reported 10,000 directly held Class A Ordinary Shares and 10,000 restricted stock units. Related entities, including Maxpro Investment Co., Ltd., hold 101,248 Class A Ordinary Shares and warrants tied to 3,823 underlying shares, with his interest limited to his pecuniary stake.
How do Chen Yi-Kuei’s restricted stock units in Apollomics (APLM) vest?
The restricted stock units vest in two equal installments of 5,000 shares each. Vesting occurs on June 15, 2026 and September 15, 2026, and each unit represents a contingent right to receive one Class A Ordinary Share upon vesting, subject to applicable conditions.
What are the key warrant terms disclosed in the Apollomics (APLM) Form 3/A?
The warrants are exercisable for 0.01 Class A Ordinary Share per warrant at $11.50 per warrant. This reflects an adjusted exercise price of $1,150.00 per full Class A Ordinary Share for 3,823 underlying shares, with an expiration date in 2028.
Does the Apollomics (APLM) COO’s filing indicate any recent insider buying or selling?
The filing presents holdings rather than new transactions, with no explicit buy or sell codes. It lists direct and indirect positions in shares, restricted stock units, and warrants, clarifying current ownership structure rather than recording open-market trading activity.