Connect Biopharma director files initial Form 3

Connect Biopharma Holdings Ltd director Kleanthis Gabriel Xanthopoulos filed an initial statement of beneficial ownership.

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Form Type

Rhea-AI Filing Summary

Connect Biopharma Holdings Ltd director Kleanthis Gabriel Xanthopoulos filed an initial statement of beneficial ownership. He reports holding 80,000 Ordinary Shares directly, plus several stock options to buy Ordinary Shares with exercise prices between $0.96 and $8.16, expiring from 2030 to 2036. One option series is fully vested and exercisable, while another fully vests and becomes exercisable on March 2, 2027.

Insider Trade Summary

8 transactions reported

Mixed 8 txns

Insider Xanthopoulos Kleanthis Gabriel

Role Director

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

Holdings After Transaction: Stock Option (Right to Buy) — 338,900 contracts (Direct); Ordinary Shares — 80,000 shares (Direct)

Footnotes (2)

F1. The stock option is fully vested and exercisable.
F2. The stock option fully vests and becomes exercisable on March 2, 2027.

FAQ

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

What does the CNTB Form 3 filing by Kleanthis Gabriel Xanthopoulos show?

The Form 3 shows Xanthopoulos’ initial holdings in Connect Biopharma. He reports 80,000 Ordinary Shares held directly and multiple stock options for additional Ordinary Shares at set exercise prices and future expiration dates.

How many Connect Biopharma (CNTB) Ordinary Shares does Xanthopoulos directly own?

Xanthopoulos directly owns 80,000 Ordinary Shares of Connect Biopharma. This position reflects his equity stake separate from any stock options, which give him the right to buy additional shares at predetermined exercise prices.

What stock options are reported in the CNTB Form 3 for Xanthopoulos?

The filing lists several stock options on Ordinary Shares with exercise prices ranging from $0.96 to $8.16. These options have expiration dates between 2030 and 2036 and represent rights to acquire additional shares in the future.

Are any of Xanthopoulos’ CNTB stock options already vested and exercisable?

Yes, one stock option series is fully vested and exercisable according to the filing. Another option series is scheduled to fully vest and become exercisable on March 2, 2027, providing additional potential future share ownership.

Does the CNTB Form 3 indicate any recent buy or sell transactions by Xanthopoulos?

No recent buy or sell transactions are indicated in this Form 3. It serves as an initial ownership report, detailing existing Ordinary Share holdings and outstanding stock options rather than new market purchases or sales.

Is Xanthopoulos’ ownership in CNTB held directly or through other entities?

The filing shows Xanthopoulos’ holdings as directly owned. Both the 80,000 Ordinary Shares and the reported stock options are listed as direct ownership, with no trusts or other intermediary entities referenced in the data provided.

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

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Accepted by SEC EDGAR 03/16/2026 - 04:44 PM

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^*

Xanthopoulos Kleanthis Gabriel

(Last)

(First)

(Middle)

3580 CARMEL MOUNTAIN ROAD, SUITE 200

(Street)

SAN DIEGO

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)

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

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	80,000	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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Stock Option (Right to Buy)	⁽¹⁾	11/01/2030	Ordinary Shares	89,220	$8.16	D
Stock Option (Right to Buy)	⁽¹⁾	03/01/2032	Ordinary Shares	21,269	$4.12	D
Stock Option (Right to Buy)	⁽¹⁾	03/01/2033	Ordinary Shares	28,359	$1.27	D
Stock Option (Right to Buy)	⁽¹⁾	03/01/2034	Ordinary Shares	33,540	$1.18	D
Stock Option (Right to Buy)	⁽¹⁾	08/05/2034	Ordinary Shares	46,512	$1.04	D
Stock Option (Right to Buy)	⁽¹⁾	06/24/2035	Ordinary Shares	60,000	$0.96	D
Stock Option (Right to Buy)	⁽²⁾	03/02/2036	Ordinary Shares	60,000	$2.5	D

Explanation of Responses:

1. The stock option is fully vested and exercisable.

2. The stock option fully vests and becomes exercisable on March 2, 2027.

Remarks:

	/s/ Lisa Peraza attorney-in-fact for Kleanthis Xanthopoulos	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.

Source: View Original Filing on SEC EDGAR