Apollomics chair holds 41.8% stake, adds $2M note

Rhea-AI Filing Summary

Apollomics Inc. received additional funding support from its chairman and CEO, Hung‑Wen (Howard) Chen, who, together with his wholly owned entity King Regent Management Limited, beneficially owns 901,362 Class A ordinary shares, representing 41.8% of the class.

On March 30, 2026, the company issued a $2,000,000 Convertible Promissory Note to Mr. Chen as an unsecured bridge loan. The principal will automatically convert into Apollomics equity in the next equity financing that raises at least $10,000,000, at a conversion price equal to 80% of the lowest per‑share purchase price in that financing. If no such financing occurs by the eighteen‑month maturity, Mr. Chen may elect to convert the note into Class A ordinary shares based on the average closing price over the ten trading days before maturity.

Mr. Chen holds 138,334 Class A ordinary shares directly, and King Regent holds 763,028 shares. In addition, on March 15, 2026, 5,000 restricted stock units granted to Mr. Chen vested, each representing the right to receive one Class A ordinary share.

Insights

Corporate governance and capital structure analyst

Filing highlights concentrated insider ownership and a new $2M insider bridge loan.

This Schedule 13D/A shows that Hung‑Wen Chen and his wholly owned vehicle King Regent Management Limited beneficially own 901,362 Class A ordinary shares of Apollomics Inc., or 41.8% of the class. That level of ownership implies significant influence over shareholder decisions.

The filing also describes a $2,000,000 unsecured Convertible Promissory Note that Apollomics issued to Mr. Chen on March 30, 2026 as a bridge loan. The note automatically converts into equity if the company completes a “Next Equity Financing” raising at least $10,000,000, at a conversion price equal to 80% of the lowest per‑share price in that financing.

If no qualifying financing occurs by the eighteen‑month maturity, Mr. Chen can elect to convert based on the average closing price over the ten trading days before maturity. The filing also notes vesting of 5,000 restricted stock units on March 15, 2026, modestly increasing Mr. Chen’s equity exposure. Overall, the update is structurally important but does not by itself establish a clearly positive or negative financial impact.

Key Figures

Beneficial ownership: 901,362 Class A ordinary shares Ownership percentage: 41.8% Direct holdings: 138,334 Class A ordinary shares +5 more

8 metrics

Beneficial ownership 901,362 Class A ordinary shares Reported as 41.8% of class by Chen and King Regent

Ownership percentage 41.8% Percent of Class A ordinary shares beneficially owned

Direct holdings 138,334 Class A ordinary shares Held directly by Hung‑Wen Chen

Indirect holdings 763,028 Class A ordinary shares Held by King Regent Management Limited

Convertible note principal $2,000,000 Unsecured bridge loan from Hung‑Wen Chen dated March 30, 2026

Next Equity Financing threshold $10,000,000 Minimum aggregate gross proceeds to trigger automatic conversion

Conversion discount 80% of lowest per-share price Conversion price relative to investors in Next Equity Financing

Vested RSUs 5,000 units Restricted stock units vested on March 15, 2026 for Hung‑Wen Chen

Key Terms

Convertible Promissory Note, bridge loan, Next Equity Financing, restricted stock units, +2 more

6 terms

Convertible Promissory Note financial

"entered into a Convertible Promissory Note (the "Note") with Mr. Hung-Wen"

A convertible promissory note is a loan a company takes now that can later be turned into shares instead of being repaid in cash. Think of it as lending money with the option to accept ownership in the business down the road; that matters to investors because it affects who gets paid first, how much ownership existing shareholders keep, and the company’s future valuation and cash needs. Terms such as conversion price, interest and maturity determine the financial impact.

bridge loan financial

"Mr. Chen provided an unsecured bridge loan to the Company in the principal amount"

A bridge loan is a short-term loan used to quickly provide funds until a larger, long-term financing option is in place. It acts like a temporary bridge, helping individuals or businesses cover immediate expenses or complete transactions without delay. For investors, it’s important because it offers quick access to cash but often comes with higher costs and short repayment periods.

Next Equity Financing financial

"upon the closing of the Company's next equity financing that raises aggregate gross proceeds of not less than $10,000,000 (the "Next Equity Financing")"

restricted stock units financial

"On March 15, 2026, 5,000 shares of the restricted stock units has vested"

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.

beneficially owned financial

"Aggregate amount beneficially owned by each reporting person 901,362.00"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

Percent of class financial

"Percent of class represented by amount in Row (11) 41.8 %"

Percent of class is the portion of a specific category of securities—such as a company’s common shares, preferred shares, or a bond series—that takes part in or approves a corporate action (vote, consent, tender, etc.). Investors watch this number because it reveals how much support or opposition exists within that particular shareholder group; like counting how many members of a club back a proposal, it can determine whether a plan passes or how influence is distributed.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How much of Apollomics Inc. (APLM) does Hung-Wen Chen beneficially own?

Hung‑Wen (Howard) Chen, together with King Regent Management Limited, beneficially owns 901,362 Class A ordinary shares of Apollomics Inc., representing 41.8% of that share class. This gives him substantial influence over company matters requiring shareholder approval.

What are the key terms of the $2,000,000 convertible note Apollomics issued to Hung-Wen Chen?

Apollomics issued a $2,000,000 unsecured Convertible Promissory Note to Hung‑Wen Chen on March 30, 2026. The principal automatically converts into equity in the next equity financing of at least $10,000,000, at 80% of the lowest per‑share price paid by new investors.

When can Hung-Wen Chen choose to convert the Apollomics note if no equity financing occurs?

If the note has not converted before the eighteen‑month maturity, Mr. Chen may elect to convert it into Class A ordinary shares. The conversion price would be based on the average closing price over the ten trading days immediately before the maturity date.

How are Hung-Wen Chen’s Apollomics shares held between him and King Regent Management Limited?

The filing states that 138,334 Apollomics Class A ordinary shares are held directly by Hung‑Wen Chen. A further 763,028 shares are held by King Regent Management Limited, a private investment holding company wholly owned and directed by Mr. Chen.

What recent equity awards to Hung-Wen Chen are disclosed for Apollomics (APLM)?

On March 15, 2026, 5,000 restricted stock units granted to Hung‑Wen Chen vested, each representing a contingent right to receive one Class A ordinary share. This vesting modestly increases his potential equity ownership in Apollomics Inc.

What triggers the automatic conversion of the Apollomics note called the Next Equity Financing?

The “Next Equity Financing” is defined as the company’s next equity financing that raises aggregate gross proceeds of at least $10,000,000. When that closes, the note’s principal automatically converts into Apollomics equity at 80% of the lowest per‑share purchase price in that financing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/06/2026 - 01:24 PM Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)

Apollomics Inc.

(Name of Issuer)

Class A ordinary shares, par value $0.0001 per share

(Title of Class of Securities)

G0411D123

(CUSIP Number)

Hung-Wen Chen
4F, No. 6, Lane 8, Qingtian Street, Da'an District,
Taipei City, F5, 106
886932033081

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

03/30/2026

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

schemaVersion:

SCHEDULE 13D

CUSIP Number(s): G0411D123

1

Name of reporting person

Hung-Wen Chen

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

PF

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

TAIWAN

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 138,334.00
8	Shared Voting Power 901,362.00
9	Sole Dispositive Power 138,334.00
10	Shared Dispositive Power 901,362.00

11

Aggregate amount beneficially owned by each reporting person

901,362.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

41.8 %

14

Type of Reporting Person (See Instructions)

IN

SCHEDULE 13D

CUSIP Number(s): G0411D123

1

Name of reporting person

King Regent Management Limited

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

WC

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

SEYCHELLES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 763,028.00
8	Shared Voting Power 901,362.00
9	Sole Dispositive Power 763,028.00
10	Shared Dispositive Power 901,362.00

11

Aggregate amount beneficially owned by each reporting person

901,362.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

41.8 %

14

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Class A ordinary shares, par value $0.0001 per share
(b)	Name of Issuer: Apollomics Inc.
(c)	Address of Issuer's Principal Executive Offices: 989 E. Hillsdale Blvd., Suite 220, Foster City, CALIFORNIA , 94404.
Item 1 Comment: On March 30, 2026, Apollomics Inc. (the "Company") entered into a Convertible Promissory Note (the "Note") with Mr. Hung-Wen (Howard) Chen, the Company's Chairman and Chief Executive Officer. Pursuant to the Note, Mr. Chen provided an unsecured bridge loan to the Company in the principal amount of $2,000,000. The principal amount will automatically convert into equity securities of the Company upon the closing of the Company's next equity financing that raises aggregate gross proceeds of not less than $10,000,000 (the "Next Equity Financing"). Upon such conversion, the conversion price will be equal to 80% of the lowest per-share purchase price paid by investors in the Next Equity Financing. If the Note is not converted prior to the eighteen-month anniversary of its issuance (the "Maturity Date"), the Holder may elect to convert the Note into Class A ordinary shares of the Company based on the average closing price of the shares for the ten trading days immediately preceding the Maturity Date. On March 15, 2026, 5,000 shares of the restricted stock units has vested, with each restricted stock unit representing a contingent right to receive one Class A Ordinary Share.
Item 2.	Identity and Background
(a)	(i) Hung-Wen (Howard) Chen ("Mr. Chen"); and (ii) King Regent Management Limited ("King Regent," and together with Mr. Chen, the "Reporting Persons")
(b)	The business address of Mr. Chen is 4F, No. 6, Lane 8, Qingtian Street, Da'an District, Taipei City 106 Taiwan. The business address of King Regent is 4F, No. 6, Lane 8, Qingtian Street, Da'an District, Taipei City 106 Taiwan.
(c)	(1) Chairman of the Baord and Chief Executive Officer of the Issuer. (2) King Regent is a private investment holding company that is wholly owned by Hung-Wen Chen
(d)	No
(e)	No
(f)	Mr. Chen is a citizen of Taiwan. King Regent is organized under the laws of Republic of Seychelles.
Item 3.	Source and Amount of Funds or Other Consideration
	(1) PF (2) WC
Item 4.	Purpose of Transaction
	Investment
Item 5.	Interest in Securities of the Issuer
(a)	901,362 Ordinary Shares 41.8%
(b)	2,152,205
(c)	convertible note agreement
(d)	(1) 138,334 Ordinary Shares held directly by Hung-Wen Chen, and (2) 763,028 Ordinary Shares held by King Regent.
(e)	N/A
Item 6.	Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
	Mr. Chen being the sole owner and director of King Regent. On March 30, 2026, Apollomics Inc. (the "Company") entered into a Convertible Promissory Note (the "Note") with Mr. Hung-Wen (Howard) Chen, the Company's Chairman and Chief Executive Officer. Pursuant to the Note, Mr. Chen provided an unsecured bridge loan to the Company in the principal amount of $2,000,000. The principal amount will automatically convert into equity securities of the Company upon the closing of the Company's next equity financing that raises aggregate gross proceeds of not less than $10,000,000 (the "Next Equity Financing"). Upon such conversion, the conversion price will be equal to 80% of the lowest per-share purchase price paid by investors in the Next Equity Financing. If the Note is not converted prior to the eighteen-month anniversary of its issuance (the "Maturity Date"), the Holder may elect to convert the Note into Class A ordinary shares of the Company based on the average closing price of the shares for the ten trading days immediately preceding the Maturity Date. On March 15, 2026, 5,000 shares of the restricted stock units of Mr. Chen has vested, with each restricted stock unit representing a contingent right to receive one Class A Ordinary Share.
Item 7.	Material to be Filed as Exhibits.
	10.1 Convertible Promissory Note, dated March 30, 2026, issued by Apollomics Inc. to Hung-Wen Chen (incorporated by reference to the Exhibit 10.1 to Form 6-k filed by APLM on April 1st, 2026) 99.1 Press Release dated April 1, 2026 (incorporated by reference to the Exhibit 99.1 to Form 6-k filed by APLM on April 1st, 2026)

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Hung-Wen Chen

Signature:	/s/ Hung-Wen Chen
Name/Title:	Director
Date:	04/06/2026

King Regent Management Limited

Signature:	/s/ Hung-Wen Chen
Name/Title:	Director
Date:	04/06/2026