Apollomics (APLM) details Yi‑Kuei Chen’s 4.97% stake after $300,000 share purchase

Rhea-AI Filing Summary

Apollomics Inc. disclosed an update on the holdings of investor Yi‑Kuei (Alex) Chen. An affiliated entity, Maxpro Investment Co., Ltd., entered into a Subscription Agreement on August 7, 2026 to purchase 20,000 Class A shares at $15.00 per share, for an aggregate purchase price of $300,000, in a private placement that closed on August 14, 2026.

Following this transaction, Mr. Chen beneficially owns 145,171 Class A shares, including shares held directly, RSUs vesting within 60 days, and warrants held by Maxpro, representing approximately 4.97% of the company’s Class A shares deemed outstanding for reporting purposes. Because the total number of outstanding Class A shares increased after the private placement, Mr. Chen ceased to be the beneficial owner of more than five percent of the class on August 14, 2026. The newly issued shares are restricted securities subject to transfer limitations under the Subscription Agreement.

Key Figures

Private placement price: $15.00 per share Private placement size: 20,000 Class A shares; $300,000 aggregate Beneficial ownership shares: 145,171 Class A shares +5 more

8 metrics

Private placement price $15.00 per share Purchase price per Class A share under the Subscription Agreement on August 7, 2026

Private placement size 20,000 Class A shares; $300,000 aggregate Shares and total purchase price acquired by Maxpro in the private placement closing August 14, 2026

Beneficial ownership shares 145,171 Class A shares Total Class A shares beneficially owned by Yi‑Kuei Chen as of Amendment No. 1

Ownership percentage 4.97% Percentage of Apollomics Class A shares beneficially owned by Yi‑Kuei Chen

Shares outstanding baseline 2,914,962 Class A shares Class A shares outstanding immediately following the closing of the private placement

Maxpro warrant shares 3,823 Class A shares Shares issuable upon exercise of warrants held by Maxpro, exercisable within 60 days

RSUs vesting within 60 days 5,000 Class A shares Class A shares issuable upon settlement of restricted stock units held by Mr. Chen

Sole vs shared voting power 20,100 sole; 125,071 shared Breakdown of voting and dispositive power over Class A shares

Key Terms

beneficially owns, private placement, Subscription Agreement, restricted securities, +2 more

6 terms

beneficially owns financial

"As of the date of this Amendment No. 1, the Reporting Person beneficially owns 145,171 Class A Shares"

Beneficially owns means a person or entity enjoys the economic benefits and control of a security even if the legal title or registration is held in another name. Think of it like having the keys and profits from a car that is registered to a friend: you use it, benefit from it, and make decisions about it even though the official paperwork lists someone else. For investors, this matters because it reveals who truly controls shares, affects voting power, potential conflicts of interest, and regulatory disclosure obligations.

private placement financial

"purchase 20,000 Class A Shares at a purchase price of $15.00 per share, in a private placement by the Issuer"

A private placement is a sale of securities directly to a selected group of investors, typically institutions or accredited investors, instead of through a public offering. It lets a company raise money faster and with fewer regulatory steps; for existing shareholders it matters because the newly issued shares, often sold at a discount, increase the share count and can dilute their ownership.

Subscription Agreement financial

"Maxpro entered into a subscription agreement with the Issuer (the "Subscription Agreement")"

A subscription agreement is a legal contract in which an investor agrees to buy a specific number of a company’s shares or other securities under set terms, including price, payment method and conditions for closing the sale. It matters to investors because it legally locks in their purchase and the company’s obligations, determines ownership percentage and any investor rights, and can include conditions or promises that affect future control or returns—like signing a detailed purchase order for equity.

restricted securities regulatory

"The Subscription Agreement provides that the Class A Shares issued thereunder are restricted securities and may not be offered, resold"

Restricted securities are shares or other investment instruments that come with legal or contractual limits on when and how they can be sold, like stock given to founders or bought in a private offering. Think of them as assets in a locked box that can’t be freely traded until certain conditions — such as a waiting period, company registration, or specific approvals — are met. For investors this matters because restricted securities are less liquid and can affect timing, price, and perceived value when they eventually enter the market.

Rule 13d-3(d)(1) regulatory

"deemed outstanding for purposes of Rule 13d-3(d)(1)"

working capital financial

"Maxpro acquired the Class A Shares in the Private Placement using its working capital and/or investment funds"

Working capital is the money a business has available to cover its daily expenses, like paying bills and buying supplies. It’s like the cash in your wallet that helps you handle everyday costs; having enough ensures the business can operate smoothly without running into money shortages.

FAQ

How many Apollomics (APLM) shares does Yi-Kuei Chen now beneficially own?

Yi‑Kuei Chen beneficially owns 145,171 Class A shares of Apollomics. This total includes direct holdings, RSUs vesting within 60 days, and warrants held by Maxpro Investment Co., Ltd. that are exercisable within 60 days.

What percentage of Apollomics (APLM) does Yi-Kuei Chen currently hold?

Yi‑Kuei Chen’s beneficial ownership represents approximately 4.97% of Apollomics’ Class A shares. This percentage is based on 2,914,962 Class A shares outstanding immediately after the private placement, plus shares issuable from certain RSUs and warrants.

What were the terms of Maxpro’s recent Apollomics (APLM) share purchase?

Maxpro agreed to purchase 20,000 Class A shares at $15.00 per share, for a total of $300,000, in a private placement that closed on August 14, 2026. The shares were acquired using Maxpro’s working capital and/or investment funds.

Are the new Apollomics (APLM) shares acquired by Maxpro freely tradable?

No. The Class A shares issued to Maxpro are restricted securities. They cannot be offered, resold, transferred, pledged or otherwise disposed of without an effective registration statement or an applicable exemption, and carry a customary restrictive legend.

Why did Yi-Kuei Chen fall below 5% ownership in Apollomics (APLM)?

Yi‑Kuei Chen fell below the 5% threshold because the number of Apollomics Class A shares outstanding increased after the private placement. As a result, he ceased to be a beneficial owner of more than five percent on August 14, 2026.

How many Apollomics (APLM) shares are used to calculate Chen’s ownership percentage?

The calculation uses 2,914,962 Class A shares outstanding immediately after the private placement, plus 3,823 shares issuable upon exercise of Maxpro warrants and 5,000 shares issuable upon settlement of Mr. Chen’s RSUs.

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

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Available on EDGAR 08/14/2026 - 04:22 PM Accepted by SEC EDGAR 08/14/2026 - 04:15 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 $0.01 per share

(Title of Class of Securities)

G0411D123

(CUSIP Number)

Yi-Kuei Chen
5/F-4, No. 89, Songren Rd., Xinyi Dist.,
Taipei City, F5, 11073
886-2-7713-7952

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

08/14/2026

(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

Yi-Kuei 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)

WC, 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 20,100.00
8	Shared Voting Power 125,071.00
9	Sole Dispositive Power 20,100.00
10	Shared Dispositive Power 125,071.00

11

Aggregate amount beneficially owned by each reporting person

145,171.00

12

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

13

Percent of class represented by amount in Row (11)

4.97 %

14

Type of Reporting Person (See Instructions)

IN

Comment for Type of Reporting Person:

Row 11 consists of (i) 100 Class A Shares held directly by Mr. Chen, (ii) 15,000 Class A Shares held directly by Mr. Chen that were issued upon settlement of vested restricted stock units ("RSUs"), (iii) 5,000 Class A Shares issuable upon settlement of RSUs that vest within 60 days of the date of this Amendment No. 1, (iv) 121,248 Class A Shares held directly by Maxpro Investment Co., Ltd. ("Maxpro"), and (v) 3,823 Class A Shares issuable upon exercise of warrants held by Maxpro that are exercisable within 60 days. Rows 7 and 9 consist of the Class A Shares described in clauses (i), (ii) and (iii) above. Rows 8 and 10 consist of the Class A Shares described in clauses (iv) and (v) above. Mr. Chen is a director of Maxpro and shares voting and dispositive power over the Class A Shares held by Maxpro.

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Class A ordinary shares, par value $0.01 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: This Amendment No. 1 to Schedule 13D (this "Amendment No. 1") amends and supplements the Schedule 13D originally filed with the U.S. Securities and Exchange Commission (the "SEC") on April 8, 2026 (the "Original Schedule 13D" and, as amended and supplemented by this Amendment No. 1, the "Schedule 13D") by Yi-Kuei (Alex) Chen (the "Reporting Person" or "Mr. Chen") with respect to the Class A ordinary shares, par value $0.01 per share (the "Class A Shares"), of Apollomics Inc., a Cayman Islands exempted company (the "Issuer"). Capitalized terms used but not otherwise defined in this Amendment No. 1 have the meanings ascribed to them in the Original Schedule 13D. Except as specifically amended and supplemented by this Amendment No. 1, the Original Schedule 13D remains in full force and effect.
Item 3.	Source and Amount of Funds or Other Consideration
	Item 3 of the Schedule 13D is hereby amended and supplemented as follows: On August 7, 2026, Maxpro entered into a subscription agreement with the Issuer (the "Subscription Agreement"), pursuant to which Maxpro agreed to purchase 20,000 Class A Shares at a purchase price of $15.00 per share, for an aggregate purchase price of $300,000, in a private placement by the Issuer (the "Private Placement"). The closing of the Private Placement occurred on August 14, 2026. Maxpro acquired the Class A Shares in the Private Placement using its working capital and/or investment funds.
Item 4.	Purpose of Transaction
	Item 4 of the Schedule 13D is hereby amended and supplemented as follows: The information set forth in Item 3 of this Amendment No. 1 is incorporated herein by reference. The Class A Shares acquired by Maxpro in the Private Placement are held for investment purposes. The Reporting Person may, from time to time, review his investment in the Issuer on the basis of various factors, including the Issuer's business, financial condition, results of operations, prospects, general economic and market conditions, the market price of the Class A Shares, other investment opportunities available to the Reporting Person, and other factors that the Reporting Person may deem relevant. Subject to applicable law, the Reporting Person may acquire additional securities of the Issuer or dispose of some or all of the securities of the Issuer beneficially owned by him, in open market transactions, privately negotiated transactions, or otherwise. Except as may occur in the ordinary course in the Reporting Person's capacity as an officer and director of the Issuer, the Reporting Person does not currently have any plans or proposals that relate to or would result in any of the actions or transactions described in clauses (a) through (j) of Item 4 of Schedule 13D.
Item 5.	Interest in Securities of the Issuer
(a)	Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows: As of the date of this Amendment No. 1, the Reporting Person beneficially owns 145,171 Class A Shares, representing approximately 4.97% of the Class A Shares outstanding. Such amount consists of (i) 15,100 Class A Shares held directly by Mr. Chen, including 15,000 Class A Shares held in a brokerage account following settlement of previously vested restricted stock units, (ii) 121,248 Class A Shares held directly by Maxpro, (iii) 3,823 Class A Shares issuable upon exercise of warrants held by Maxpro that are exercisable within 60 days of the date of this Amendment No. 1, and (iv) 5,000 restricted stock units held directly by Mr. Chen that are scheduled to vest within 60 days of the date of this Amendment No. 1. The percentage ownership reported herein is based on 2,914,962 Class A Shares outstanding immediately following the closing of the Private Placement, plus 3,823 Class A Shares issuable upon exercise of warrants held by Maxpro and 5,000 Class A Shares issuable upon settlement of restricted stock units held by Mr. Chen, in each case that are deemed outstanding for purposes of Rule 13d-3(d)(1).
(b)	The Reporting Person has sole voting and dispositive power over 20,100 Class A Shares, consisting of (i) 100 Class A Shares held directly by Mr. Chen, (ii) 15,000 Class A Shares held directly by Mr. Chen following settlement of previously vested restricted stock units, and (iii) 5,000 Class A Shares issuable upon settlement of restricted stock units that are scheduled to vest within 60 days of the date of this Amendment No. 1. The Reporting Person shares voting and dispositive power over the 125,071 Class A Shares beneficially owned by Maxpro, consisting of 121,248 Class A Shares held directly by Maxpro and 3,823 Class A Shares issuable upon exercise of warrants held by Maxpro that are exercisable within 60 days of the date of this Amendment No. 1.
(c)	Except for the acquisition by Maxpro of 20,000 Class A Shares in the Private Placement described in Item 3 of this Amendment No. 1, and except as otherwise described in this Schedule 13D, the Reporting Person has not effected any transactions in the Class A Shares during the past 60 days.
(d)	Except as described in this Schedule 13D, no person other than Mr. Chen or Maxpro is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Class A Shares beneficially owned by the Reporting Person.
(e)	As a result of the increase in the number of outstanding Class A Shares following the closing of the Private Placement, the Reporting Person ceased to be the beneficial owner of more than five percent of the outstanding Class A Shares on August 14, 2026.
Item 6.	Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
	Item 6 of the Schedule 13D is hereby amended and supplemented as follows: The information set forth in Items 3, 4 and 5 of this Amendment No. 1 is incorporated herein by reference. On August 7, 2026, Maxpro entered into the Subscription Agreement described in Item 3 of this Amendment No. 1, pursuant to which Maxpro agreed to purchase 20,000 Class A Shares from the Issuer at a purchase price of $15.00 per share, for an aggregate purchase price of $300,000. The Private Placement closed on August 14, 2026. The Subscription Agreement provides that the Class A Shares issued thereunder are restricted securities and may not be offered, resold, transferred, pledged or otherwise disposed of absent an effective registration statement under the Securities Act of 1933, as amended, or an applicable exemption from registration requirements, and that each book entry for the Class A Shares will contain a customary restrictive legend. The Subscription Agreement also provides that the obligations of each subscriber are several and not joint and that nothing contained in the Subscription Agreement or any other subscription agreement, and no action taken by any subscriber or other investor pursuant thereto, shall be deemed to constitute such subscribers or other investors as a partnership, association, joint venture or other entity, or create a presumption that such subscribers or other investors are acting in concert or as a group with respect to the transactions contemplated thereby. Other than (i) the Subscription Agreement described in this Amendment No. 1, (ii) the warrants held by Maxpro described in Item 5, (iii) the restricted stock units held by the Reporting Person described in Item 5, and (iv) the Reporting Person's authority with respect to voting and disposition of the Class A Shares held by Maxpro, there are no contracts, arrangements, understandings or relationships between the Reporting Person and any other person with respect to securities of the Issuer.
Item 7.	Material to be Filed as Exhibits.
	Item 7 of the Schedule 13D is hereby amended and supplemented as follows: Exhibit No. Description 99.1 Form of Subscription Agreement, dated August 7, 2026, by and between Apollomics Inc. and Maxpro Investment Co., Ltd. (incorporated by reference to Exhibit 10.1 to the Issuer's Form 6-K furnished on August 12, 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.

Yi-Kuei Chen

Signature:	/s/ Yi-Kuei Chen
Name/Title:	Yi-Kuei Chen
Date:	08/14/2026