Apollomics COO gets 5K shares, 8K stock options
Apollomics Inc. (APLM) reported that director and Chief Operating Officer Chen Yi-Kuei had 5,000 restricted stock units vest on September 15, 2026, converting into 5,000 Class A Ordinary Shares held directly, bringing his direct holdings to 20,100 shares.
Rhea-AI Filing Summary
Apollomics Inc. (APLM) reported that director and Chief Operating Officer Chen Yi-Kuei had 5,000 restricted stock units vest on September 15, 2026, converting into 5,000 Class A Ordinary Shares held directly, bringing his direct holdings to 20,100 shares. On September 14, 2026 he was also granted a stock option for 8,000 shares at $23.18 per share under the 2023 Incentive Award Plan, vesting in two equal installments in 2027. In addition, 121,248 Class A Ordinary Shares are reported as held indirectly through Maxpro Investment Co., Ltd., with beneficial ownership disclaimed except to the extent of his pecuniary interest. No Rule 10b5-1 trading plan is reported.
Positive
- None.
Negative
- None.
Insider Trade Summary
5,000 shares exercised/converted
Exercise
4 txns
Insider
Chen Yi-Kuei
Role
Chief Operating Officer
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Exercise | Restricted Stock Units F3, F4 | 5,000 | $0.00 | $0.00 |
| Exercise | CLASS A ORDINARY SHARES | 5,000 | $0.00 | $0.00 |
| Grant/Award | Stock Option (Right to Buy) F2 | 8,000 | $0.00 | $0.00 |
| holding | CLASS A ORDINARY SHARES F1 | -- | -- | -- |
Holdings After Transaction:
Stock Option (Right to Buy) — 8,000 contracts (Direct);
Restricted Stock Units — 5,000 contracts (Direct);
CLASS A ORDINARY SHARES — 20,100 shares (Direct);
CLASS A ORDINARY SHARES — 121,248 shares (Indirect, Through Maxpro Investment Co., Ltd.)
Footnotes (4)
- F1. The reporting person is a member of the Board of Directors of Maxpro Investment Co., Ltd. and is co-founder and managing director of Maxpro Ventures Ltd. The amount reported includes a 100 share adjustment for shares previously owned but inadvertently omitted. Excludes 3,823 Class A Ordinary Shares issuable upon the exercise of warrants held directly by Maxpro Investment Co., Ltd., which were previously reported on the Form 3 filed March 18, 2026 and the Form 3/A filed April 14, 2026. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- F2. The stock option was granted under the Apollomics Inc. 2023 Incentive Award Plan on September 14, 2026. The option vests and becomes exercisable over a one-year period: fifty percent (50%) of the shares subject to the option vest on March 14, 2027 (six months from the grant date), and the remaining fifty percent (50%) vest on September 14, 2027 (twelve months from the grant date), subject to the reporting person's continued service to the Issuer through each applicable vesting date.
- F3. Each restricted stock unit represents a contingent right to receive one Class A Ordinary Share
- F4. RSUs were granted and previously reported on a Form 3 filed March 18, 2026 and a Form 3/A filed April 14, 2026. Of the initial RSU grant, 5,000 shares vested on each of February 9, 2026, March 15, 2026, June 15, 2026 and September 15, 2026. This transaction represents the vesting of 5,000 RSUs on September 15, 2026.
Key Figures
RSUs vested: 5,000 units
Shares acquired from RSU vesting: 5,000 Class A Ordinary Shares
Direct Class A Ordinary Shares held after transaction: 20,100 shares
+4 more
7 metrics
RSUs vested
5,000 units
Restricted stock units vesting on September 15, 2026 for Chen Yi-Kuei
Shares acquired from RSU vesting
5,000 Class A Ordinary Shares
Shares received upon settlement of vested RSUs on September 15, 2026
Direct Class A Ordinary Shares held after transaction
20,100 shares
Direct holdings of Chen Yi-Kuei after September 15, 2026 transaction
Indirect Class A Ordinary Shares
121,248 shares
Held through Maxpro Investment Co., Ltd., with beneficial ownership disclaimed beyond pecuniary interest
Stock option grant size
8,000 shares underlying
Stock Option (Right to Buy) granted September 14, 2026 under 2023 Incentive Award Plan
Stock option exercise price
$23.18 per share
Conversion or exercise price for 8,000-share option granted September 14, 2026
RSU vesting installments in 2026
5,000 shares on each of four dates
Of the initial RSU grant, 5,000 shares vested on February 9, March 15, June 15 and September 15, 2026
Key Terms
Restricted Stock Units, Stock Option (Right to Buy), Incentive Award Plan, pecuniary interest, +1 more
5 terms
Restricted Stock Units financial
"The filing reports vesting of 5,000 Restricted Stock Units, each for one share"
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.
Stock Option (Right to Buy) financial
"A Stock Option (Right to Buy) for 8,000 shares was granted on September 14, 2026"
Incentive Award Plan financial
"The stock option was granted under the Apollomics Inc. 2023 Incentive Award Plan"
An incentive award plan is a formal program that rewards employees, executives, or directors with cash, stock, options, or other pay when the company meets set goals or performance targets. Like a sales commission or a loyalty program that pays out when you hit milestones, it’s designed to align staff behavior with company objectives; investors care because it affects a company’s costs, share count (dilution), leadership incentives, and long-term value creation.
pecuniary interest financial
"The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What equity awards did Apollomics (APLM) COO Chen Yi-Kuei receive in this Form 4?
Chen Yi-Kuei received a stock option for 8,000 Class A Ordinary Shares at $23.18 per share on September 14, 2026, and 5,000 restricted stock units vested on September 15, 2026, settling into 5,000 Class A Ordinary Shares held directly.
What indirect Apollomics (APLM) holdings are reported for Chen Yi-Kuei?
The filing reports 121,248 Class A Ordinary Shares held indirectly through Maxpro Investment Co., Ltd., including a 100-share adjustment. He disclaims beneficial ownership of these securities except to the extent of his pecuniary interest in them.
How do the new Apollomics (APLM) stock options for Chen Yi-Kuei vest?
The 8,000-share stock option granted on September 14, 2026 vests over one year: 50% of the shares vest on March 14, 2027, and the remaining 50% vest on September 14, 2027, subject to his continued service to Apollomics through each vesting date.
Were Chen Yi-Kuei’s Apollomics (APLM) transactions made under a Rule 10b5-1 trading plan?
No. The Form 4 indicates that the Rule 10b5-1 checkbox is not marked, and the footnotes do not state that these transactions were executed under any Rule 10b5-1 trading plan or similar pre-arranged trading arrangement.
What RSU activity did Apollomics (APLM) report for Chen Yi-Kuei on September 15, 2026?
Apollomics reported that 5,000 restricted stock units previously granted to Chen Yi-Kuei vested on September 15, 2026. Each restricted stock unit represents a right to receive one Class A Ordinary Share, and this vesting generated 5,000 new directly held shares.
AI-generated analysis. How Rhea-AI works. Not financial advice.
