CASI General Counsel reports stock option holdings

CASI Pharmaceuticals, Inc. General Counsel Wei R Gao filed a Form 3 reporting existing holdings of stock options on the company’s ordinary shares.

Rhea-AI Filing Summary

CASI Pharmaceuticals, Inc. General Counsel Wei R Gao filed a Form 3 reporting existing holdings of stock options on the company’s ordinary shares. The filing lists multiple options to buy shares at exercise prices of $1.93, $2.67, and $5.78 per share with expirations between 2031 and 2034. Footnotes state that these options are fully vested and exercisable as of the filing date, and some are performance-based options that become exercisable upon achieving a specified performance target.

Insider Trade Summary

13 transactions reported

Mixed 13 txns

Insider Gao Wei R

Role General Counsel

Type	Security	Shares	Price	Value
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--
holding	Option (right to buy)	--	--	--

Holdings After Transaction: Option (right to buy) — 84,000 contracts (Direct)

Footnotes (2)

1. F1. The options are fully vested and exercisable as of the date of this form.
2. F2. Performance based options exercisable upon achievement of performance target.

Key Figures

Exercise price: $1.93 per share Exercise price: $2.67 per share Exercise price: $5.78 per share +5 more

8 metrics

Exercise price $1.93 per share Stock options on CASI ordinary shares

Exercise price $2.67 per share Stock options on CASI ordinary shares

Exercise price $5.78 per share Stock options on CASI ordinary shares

Underlying shares 25,000 shares Options expiring on 2034-11-06 at $5.78

Underlying shares 10,000 shares Options expiring on 2034-11-06 at $5.78

Underlying shares 8,000 shares Options expiring on 2033-05-12 at $1.93

Earliest expiration 2031-06-18 Options at $1.93 per share

Latest expiration 2034-11-06 Options at $5.78 per share

Key Terms

Option (right to buy, Ordinary Share, fully vested and exercisable, Performance based options

4 terms

Option (right to buy financial

"security_title": "Option (right to buy)"

Ordinary Share financial

"underlying_security_title": "Ordinary Share""

An ordinary share is a unit of ownership in a company that gives the holder a stake in its profits and usually the right to vote on key decisions. Think of it like a slice of a pizza where each slice entitles you to a portion of what’s left after bills are paid; value can rise or fall with the business and may pay dividends, so it matters to investors for income, growth and control.

fully vested and exercisable financial

"The options are fully vested and exercisable as of the date"

Performance based options financial

"Performance based options exercisable upon achievement of performance target"

FAQ

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

What does the CASI (CASIF) Form 3 filing by Wei R Gao show?

The Form 3 shows that CASI General Counsel Wei R Gao holds various stock options on ordinary shares with exercise prices of $1.93, $2.67, and $5.78, expiring between 2031 and 2034, many of which are already fully vested and exercisable.

Did Wei R Gao buy or sell CASI (CASIF) shares in this Form 3?

The Form 3 does not report any new purchases or sales of CASI shares. It simply lists existing option holdings, including fully vested options and performance-based options, along with their exercise prices and expiration dates for transparency of the General Counsel’s derivative position.

What stock option terms are disclosed for CASI (CASIF) General Counsel Wei R Gao?

The filing discloses options to buy CASI ordinary shares at exercise prices of $1.93, $2.67, and $5.78 per share. These options have expiration dates ranging from 2031-06-18 to 2034-11-06 and cover multiple blocks of underlying ordinary shares.

Are Wei R Gao’s CASI (CASIF) options already vested and exercisable?

According to a footnote, the options are fully vested and exercisable as of the date of the form. Another footnote explains that certain awards are performance-based options that become exercisable only upon achievement of a defined performance target by CASI Pharmaceuticals.

What are the largest CASI (CASIF) option blocks reported by Wei R Gao?

The Form 3 lists several option grants, including blocks covering 25,000 and 10,000 underlying ordinary shares at an exercise price of $5.78 per share, expiring on 2034-11-06, alongside multiple smaller grants at exercise prices of $1.93 and $2.67 per share.

What does a Form 3 like CASI (CASIF) General Counsel’s filing indicate to investors?

A Form 3 provides an initial snapshot of an insider’s existing holdings when they become a reporting person. In CASI’s case, it outlines Wei R Gao’s stock option positions, helping investors understand the scale, pricing, and vesting conditions of the General Counsel’s equity-based incentives.

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

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Accepted by SEC EDGAR 04/16/2026 - 04:30 PM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED 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^*

Gao Wei R

(Last) (First) (Middle)

1701, CHINA CENTRAL OFFICE TOWER 1

NO. 81 JIANGUO ROAD, CHAOYANG DISTRICT

(Street)

BEIJING 100025

(City) (State) (Zip)

CHINA

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
03/18/2026

3. Issuer Name and Ticker or Trading Symbol
CASI Pharmaceuticals, Inc. [ CASIF ]

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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	General Counsel

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)

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 Exercisable	Expiration Date	Title	Amount or Number of Shares
Option (right to buy)	(1)	06/18/2031	Ordinary Share	4,000	$1.93	D
Option (right to buy)	(1)	08/16/2031	Ordinary Share	6,000	$1.93	D
Option (right to buy)	(1)	08/16/2031	Ordinary Share	1,000	$1.93	D
Option (right to buy)	(1)	08/16/2031	Ordinary Share	2,000	$1.93	D
Option (right to buy)	(1)	11/06/2034	Ordinary Share	25,000	$5.78	D
Option (right to buy)	(1)	11/06/2034	Ordinary Share	10,000	$5.78	D
Option (right to buy)	(1)	05/12/2033	Ordinary Share	8,000	$1.93	D
Option (right to buy)	05/12/2026	05/12/2033	Ordinary Share	4,000	$1.93	D
Option (right to buy)	(1)	06/18/2034	Ordinary Share	5,000	$2.67	D
Option (right to buy)	06/18/2025	06/18/2034	Ordinary Share	5,000	$2.67	D
Option (right to buy)	06/18/2026	06/18/2034	Ordinary Share	5,000	$2.67	D
Option (right to buy)	06/18/2027	06/18/2034	Ordinary Share	5,000	$2.67	D
Option (right to buy)	(2)	08/16/2031	Ordinary Share	4,000	$1.93	D

Explanation of Responses:

1. The options are fully vested and exercisable as of the date of this form.

2. Performance based options exercisable upon achievement of performance target.

	/s/ Wei R Gao	04/16/2026
	** Signature of Reporting Person	Date
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)