Connect Biopharma (CNTB) SVP lists Ordinary Shares and option grants

Rhea-AI Filing Summary

Connect Biopharma Holdings Ltd executive Lisa Peraza, Senior Vice President of Finance, filed an initial ownership report showing her equity position in the company. She directly holds 45,189 Ordinary Shares.

She also holds several employee stock options over Ordinary Shares, including 400,000 shares at $1.15 per share expiring on August 12, 2034, 55,318 shares at $0.97 expiring on December 26, 2034, 40,000 shares at $1.14 expiring on July 7, 2035, and 250,000 shares at $2.69 expiring on December 26, 2035. Footnotes state these options generally vest over four years, with either a 25% cliff after one year followed by monthly vesting, or monthly vesting over four years, in each case requiring continued service.

Insider Trade Summary

5 transactions reported

Mixed 5 txns

Insider Peraza Lisa

Role Senior Vice President, Finance

Type	Security	Shares	Price	Value
holding	Employee Stock Option (Right to Buy)	--	--	--
holding	Employee Stock Option (Right to Buy)	--	--	--
holding	Employee Stock Option (Right to Buy)	--	--	--
holding	Employee Stock Option (Right to Buy)	--	--	--
holding	Ordinary Shares	--	--	--

Holdings After Transaction: Employee Stock Option (Right to Buy) — 400,000 shares (Direct); Ordinary Shares — 45,189 shares (Direct)

Footnotes (1)

1. The stock option vests and becomes exercisable over four years, with 25% vesting on the first anniversary of the date of grant, and then with respect to the remaining shares on a ratable monthly basis over the next three years, subject to continuous service with the Company as of each applicable vesting date. The stock option vests and becomes exercisable on a ratable monthly basis over four years, subject to continuous service with the Company as of each applicable vesting date.

Understanding Insider Trading Forms →

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
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hours per response:			0.5

1. Name and Address of Reporting Person^*

Peraza Lisa

(Last) (First) (Middle)

3580 CARMEL MOUNTAIN ROAD, SUITE 200

(Street)

SAN DIEGO CA 92130

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/16/2026

3. Issuer Name and Ticker or Trading Symbol
Connect Biopharma Holdings Ltd [ CNTB ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Senior Vice President, Finance

5. If Amendment, Date of Original Filed (Month/Day/Year)

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)
Ordinary Shares	45,189	D

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
Employee Stock Option (Right to Buy)	(1)	08/12/2034	Ordinary Shares	400,000	$1.15	D
Employee Stock Option (Right to Buy)	(1)	12/26/2034	Ordinary Shares	55,318	$0.97	D
Employee Stock Option (Right to Buy)	(1)	07/07/2035	Ordinary Shares	40,000	$1.14	D
Employee Stock Option (Right to Buy)	(2)	12/26/2035	Ordinary Shares	250,000	$2.69	D

Explanation of Responses:

1. The stock option vests and becomes exercisable over four years, with 25% vesting on the first anniversary of the date of grant, and then with respect to the remaining shares on a ratable monthly basis over the next three years, subject to continuous service with the Company as of each applicable vesting date.

2. The stock option vests and becomes exercisable on a ratable monthly basis over four years, subject to continuous service with the Company as of each applicable vesting date.

Remarks:

	/s/ Lisa Peraza	03/16/2026
	** 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.

FAQ

What does Lisa Peraza’s Form 3 filing for Connect Biopharma (CNTB) report?

The Form 3 reports Lisa Peraza’s initial ownership in Connect Biopharma, including 45,189 Ordinary Shares and several employee stock option grants. It establishes her starting equity position as Senior Vice President, Finance, without indicating any recent share purchases or sales.

How many Connect Biopharma (CNTB) Ordinary Shares does Lisa Peraza hold directly?

Lisa Peraza directly holds 45,189 Ordinary Shares of Connect Biopharma. This figure reflects her current share ownership position as reported in the Form 3, separate from any options that may be exercised into additional Ordinary Shares in the future.

What stock options over Connect Biopharma (CNTB) shares does Lisa Peraza report?

She reports employee stock options over 400,000 Ordinary Shares at $1.15, 55,318 at $0.97, 40,000 at $1.14, and 250,000 at $2.69. These options provide rights to buy Ordinary Shares at fixed prices before their respective expiration dates.

When do Lisa Peraza’s Connect Biopharma (CNTB) stock options expire?

Her options over Ordinary Shares expire on August 12, 2034; December 26, 2034; July 7, 2035; and December 26, 2035. Each grant has its own expiration date, defining how long she can choose to exercise the respective options.

How do Lisa Peraza’s Connect Biopharma (CNTB) stock options vest?

Footnotes state the options vest over four years. Some grants vest 25% on the first anniversary with the remainder vesting monthly over three years, while others vest monthly over four years, all requiring continuous service with the company.

Does Lisa Peraza’s Connect Biopharma (CNTB) Form 3 show any recent share purchases or sales?

The Form 3 lists holdings rather than new purchases or sales. It provides her existing Ordinary Share position and outstanding employee stock options, functioning as an initial statement of beneficial ownership rather than a record of current trading activity.