Apollomics CEO granted 8,000 stock options
Apollomics’ CEO received new stock options, had RSUs vest into shares, and reports substantial indirect holdings through King Regent Management Limited.
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Form Type
4
Rhea-AI Filing Summary
Apollomics Inc. (APLM) reported that Chief Executive Officer and director Hung-Wen Chen had 5,000 Restricted Stock Units vest on September 15, 2026, converting into 5,000 Class A Ordinary Shares and bringing his directly held Class A shares to 423,334. On September 14, 2026, he also received a grant of 8,000 stock options with an exercise price of $23.18 per share, expiring on September 14, 2036, vesting in two equal installments on March 14, 2027 and September 14, 2027, subject to continued service. In addition, 1,029,695 Class A Ordinary Shares are held indirectly through King Regent Management Limited, over which he has voting and dispositive power but disclaims beneficial ownership except to the extent of his pecuniary interest.
Insider Trade Summary
5,000 shares exercised/converted
Exercise
4 txns
Insider
Chen Hung-Wen
Role
Chief Executive 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 — 423,334 shares (Direct);
CLASS A ORDINARY SHARES — 1,029,695 shares (Indirect, Through King Regent Management Limited)
Footnotes (4)
- F1. The reporting person is the sole director and shareholder of King Regent Management Limited and has voting and dispositive power over the shares held by King Regent Management Limited. Accordingly, Mr. Chen may be deemed to be the beneficial owner of such shares. Mr. Chen disclaims beneficial ownership of the securities held by King Regent Management Limited, 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 into shares: 5,000 units/shares
Direct Class A Ordinary Shares after vesting: 423,334 shares
Stock options granted: 8,000 options
+3 more
6 metrics
RSUs vested into shares
5,000 units/shares
RSUs vested and converted into Class A Ordinary Shares on September 15, 2026
Direct Class A Ordinary Shares after vesting
423,334 shares
Direct holdings of Hung-Wen Chen following RSU vesting on September 15, 2026
Stock options granted
8,000 options
Stock Option (Right to Buy) grant on September 14, 2026 under 2023 Incentive Award Plan
Stock option exercise price
$23.18 per share
Exercise price for 8,000 options granted September 14, 2026
Stock option expiration date
September 14, 2036
Expiration of 8,000 stock options granted to Hung-Wen Chen
Indirect Class A Ordinary Shares
1,029,695 shares
Indirectly held through King Regent Management Limited, with voting and dispositive power
Key Terms
Restricted Stock Units, Stock Option (Right to Buy), beneficial owner, pecuniary interest, +1 more
5 terms
Restricted Stock Units financial
"The RSU transaction on September 15, 2026 involves Restricted Stock Units vesting into shares"
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) covering 8,000 shares was granted on September 14, 2026"
beneficial owner financial
"Mr. Chen may be deemed to be the beneficial owner of such shares"
A beneficial owner is the person who ultimately owns or controls a financial asset or property, even if their name isn't directly on official documents. Think of it like someone who secretly holds the keys to a safe deposit box—others may appear to have access, but the true owner is the one who benefits from what's inside. Identifying beneficial owners helps ensure transparency and prevent illegal activities like money laundering or fraud.
pecuniary interest financial
"Mr. Chen disclaims beneficial ownership except to the extent of his pecuniary interest"
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.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What equity awards did Apollomics (APLM) CEO Hung-Wen Chen receive in this Form 4?
Hung-Wen Chen received a grant of 8,000 stock options on September 14, 2026, with an exercise price of $23.18 per share, and had 5,000 RSUs vest into 5,000 Class A Ordinary Shares on September 15, 2026.
What indirect Apollomics (APLM) holdings are reported for the CEO?
The filing reports 1,029,695 Class A Ordinary Shares held indirectly through King Regent Management Limited, over which Hung-Wen Chen has voting and dispositive power, while disclaiming beneficial ownership except for his pecuniary interest.
What are the vesting terms of the 8,000 Apollomics (APLM) stock options granted to the CEO?
The 8,000 stock options granted on September 14, 2026 vest over one year: 50% on March 14, 2027 and 50% on September 14, 2027, subject to Hung-Wen Chen’s continued service to Apollomics Inc.
When do the newly granted Apollomics (APLM) stock options to the CEO expire?
The 8,000 stock options granted to Hung-Wen Chen on September 14, 2026 have an expiration date of September 14, 2036.
Were the Apollomics (APLM) CEO’s transactions under a Rule 10b5-1 trading plan?
The filing’s Rule 10b5-1 checkbox is not checked, and there is no footnote indicating that these transactions were made under a Rule 10b5-1 trading plan.
AI-generated analysis. How Rhea-AI works. Not financial advice.
