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  4. [Form 3] Apollomics Inc. Initial Statement of Beneficial Ownership

Apollomics (APLM) COO Chen Yi-Kuei reports RSUs, shares and warrants on Form 3

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

Rhea-AI Filing Summary

Apollomics Inc. director and COO Chen Yi-Kuei filed an initial Form 3 reporting his equity holdings. He directly holds restricted stock units covering 20,000 Class A Ordinary Shares, vesting in four installments of 5,000 shares each during 2026. Each unit represents the right to receive one share. Through Maxpro Investment Co., Ltd., he is attributed 101,248 Class A Ordinary Shares and warrants exercisable for 3,823 Class A Ordinary Shares at an adjusted exercise price of $1,150.00 per full share, or $11.50 per warrant. He disclaims beneficial ownership of the Maxpro-held securities except to the extent of his pecuniary interest.

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Insider Chen Yi-Kuei
Role Chief Operating Officer
Type Security Shares Price Value
holding Restricted Stock Units -- -- --
holding Warrants -- -- --
holding Class A Ordinary Shares -- -- --
Holdings After Transaction: Restricted Stock Units — 20,000 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.)
Footnotes (1)
  1. 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. The restricted stock units were vested with respect to 5,000 shares on February 17, 2026, with an additional 5,000 shares vesting on each of May 17, 2026, August 17, 2026 and November 17, 2026. Each restricted stock unit represents a contingent right to receive one Class A Ordinary Share. 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.
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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*
Chen Yi-Kuei
(Last)(First)(Middle)
989 E HILLSDALE BLVD, SUITE 220
(Street)
FOSTER CITY94404
(City)(State)(Zip)
(Country)		2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026		3. Issuer Name and Ticker or Trading Symbol
Apollomics Inc. [ APLM ]
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)
XDirector10% Owner
XOfficer (give title below)Other (specify below)
Chief Operating Officer
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)
Class A Ordinary Shares101,248IBy Maxpro Investment Co., Ltd.(1)
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
Restricted Stock Units (2) (2)Class A Ordinary Shares20,000(3)D
Warrants04/28/202303/29/2028Class A Ordinary Shares3,823(4)$1,150(4)IBy Maxpro Investment Co., Ltd.(1)
Explanation of Responses:
1. 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.
2. The restricted stock units were vested with respect to 5,000 shares on February 17, 2026, with an additional 5,000 shares vesting on each of May 17, 2026, August 17, 2026 and November 17, 2026.
3. Each restricted stock unit represents a contingent right to receive one Class A Ordinary Share.
4. 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.
Remarks:
This Initial Statement of Beneficial Ownership is being filed in connection with the enactment of the Holding Foreign Insiders Accountable Act and the rules and regulations adopted in association therewith.
/s/ Yi-Kuei (Alex) Chen03/18/2026
** 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 Apollomics (APLM) COO Chen Yi-Kuei report on this Form 3?

Chen Yi-Kuei reports his initial beneficial ownership in Apollomics securities. The filing lists direct restricted stock units for 20,000 Class A Ordinary Shares and indirect holdings of shares and warrants through Maxpro Investment Co., Ltd., establishing his starting equity position as a director and COO.

How many Apollomics (APLM) RSUs does Chen Yi-Kuei hold and how do they vest?

He holds restricted stock units covering 20,000 Class A Ordinary Shares. These units vest as to 5,000 shares on February 17, 2026, with additional 5,000-share tranches vesting on May 17, 2026, August 17, 2026, and November 17, 2026, subject to standard RSU conditions.

What indirect Apollomics (APLM) shareholdings are reported through Maxpro Investment Co., Ltd.?

The filing attributes 101,248 Class A Ordinary Shares to Chen Yi-Kuei through Maxpro Investment Co., Ltd. He serves on Maxpro’s board and co-founded Maxpro Ventures Ltd., but he disclaims beneficial ownership of these securities except for his pecuniary interest, indicating they are primarily held by the entity.

What are the terms of the Apollomics (APLM) warrants held indirectly via Maxpro?

Maxpro holds warrants exercisable for 3,823 Class A Ordinary Shares of Apollomics. Each warrant is exercisable for 0.01 share at a price of $11.50 per warrant, which reflects an adjusted exercise price of $1,150.00 per full share, with expiration on March 29, 2028.

Does this Apollomics (APLM) Form 3 show insider buying or selling by Chen Yi-Kuei?

The Form 3 does not report any new purchases or sales of Apollomics securities. It functions as an initial statement of beneficial ownership, listing Chen Yi-Kuei’s existing RSUs, indirect shareholdings, and warrants positions as of the reporting date without recording market transactions.