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CASI Pharmaceuticals, Inc. Chief Operating Officer Wang Chunhua filed an initial ownership report detailing existing option holdings in CASI ordinary shares. The filing lists multiple options to buy shares at exercise prices of $1.93, $2.67 and $5.78, with expirations ranging from 2028 through 2034.
According to a footnote, all of these options are fully vested and exercisable as of the date of the form, meaning they can already be converted into ordinary shares subject to their terms. The report reflects holdings rather than new purchases or sales.
CASI Pharmaceuticals, Inc. executive Alexander A. Zukiwski, Global Chief Medical Officer, reported his derivative holdings on a Form 3. He holds fully vested stock options giving him the right to buy a total of 116,333 Ordinary Shares at an exercise price of $1.93 per share, with each option grant expiring on April 20, 2027. The footnote states that all of these options are fully vested and exercisable as of the date of the form, meaning he can choose to convert any or all of them into shares at the stated price.
CASI Pharmaceuticals director Barbara Helene Hannelore Krebs-Pohl filed an initial Form 3 reporting existing stock option holdings. She holds two fully vested options, each covering 10,000 ordinary shares, with exercise prices of $6.41 and $2.31 per share and expirations in 2034 and 2035, all owned directly. The footnote states these options are fully vested and exercisable as of the Form 3 date, and no buy or sell transactions are reported.
CASI Pharmaceuticals, Inc. director Alex Wu filed an initial ownership report showing equity interests in the company. The filing lists several fully vested stock options to buy Ordinary Shares, including grants covering 11,045, 38,838 and 11,753 underlying shares at an exercise price of $1.93 per share, plus additional options at $2.67, $3.59 and $1.26 per share. Wu also reports direct ownership of 34,168 Ordinary Shares. A footnote states that all of the reported options are fully vested and exercisable as of the date of this form, meaning they can be converted into Ordinary Shares at the stated exercise prices through their respective expiration dates in 2031 through 2035.
CASI Pharmaceuticals’ major holder Wei-Wu He filed Amendment No. 14 to update his beneficial ownership to 18,985,535 ordinary shares, or 53.0% of the class. This percentage is based on 20,555,873 ordinary shares outstanding as of March 20, 2026.
The amendment reflects that ETP Global III Fund L.P., an affiliated fund, purchased a new US$5 million convertible note on February 19, 2026 as the third tranche of a US$20 million convertible note financing. The note may be converted into ordinary shares from the 91st day after issuance until maturity at a price equal to the five-day volume-weighted average closing price, but not above US$2 or below US$1 per share. For reporting purposes, the filing assumes a US$1 conversion price, given an average share price of US$0.15 over the last five trading days, and includes shares that can be acquired within 60 days.
CASI Pharmaceuticals director and over-10% holder Dr. Wei-Wu He has filed a Form 3 reporting his existing stakes in the company. He reports direct ownership of 1,910,550 Ordinary Shares and several option awards to buy additional Ordinary Shares at an exercise price of $1.93 with expirations between 2031 and 2033.
He also reports multiple indirect holdings of Ordinary Shares through entities such as Emerging Technology Partners, ETP funds, HE Family GRAT and the Huiying Memorial Foundation, and specifically disclaims beneficial ownership of shares held by the Foundation.