SCHEDULE: Apollomics CEO Boosts Stake to 41.8% via PIPE Investment

Apollomics Inc.'s Chairman and CEO, Hung-Wen Chen, along with his wholly-owned entity King Regent Management Limited, increased their beneficial ownership to 41.8% of the company's Class A ordinary shares through a Private Investment in Public Equity (PIPE) transaction.

Summary

• Hung-Wen Chen, Chairman and CEO of Apollomics Inc., and King Regent Management Limited, a company wholly owned by Mr. Chen, collectively beneficially own 896,362 Class A ordinary shares.
• This represents 41.8% of Apollomics Inc.'s total outstanding shares, which are 2,146,151.
• The acquisition of shares was made through a Private Investment in Public Equity (PIPE) transaction, with subscription agreements entered into on September 2, 2025.
• This Schedule 13D amends and updates a previous Schedule 13G filed by Hung-Wen Chen on May 20, 2024.
• The purpose of the transaction is for investment.

Sentiment

Score: 7

Explanation: The significant increase in insider ownership by the CEO and his controlled entity through a PIPE investment is generally viewed as a positive signal of confidence in the company's future prospects and financial stability, despite the filing being purely a disclosure of ownership.

Positives

• Increased insider ownership by the Chairman and CEO, Hung-Wen Chen, to 41.8% signals strong confidence in the company's future.
• The PIPE investment provides additional capital to Apollomics Inc.

Future Outlook

The filing does not contain specific forward-looking statements or guidance regarding the company's future operations or financial performance, focusing instead on the change in beneficial ownership.

Industry Context

This filing primarily concerns a change in beneficial ownership by an insider and does not provide sufficient information to analyze broader industry trends or competitor actions. However, a significant increase in insider ownership through a PIPE transaction can be viewed positively by the market, indicating management's belief in the company's prospects.

Related Party Transactions

• Hung-Wen Chen, the Chairman and CEO of Apollomics Inc., is the sole owner and director of King Regent Management Limited.
• Both Hung-Wen Chen and King Regent Management Limited participated in the PIPE Subscription Agreements with Apollomics Inc.

Stakeholder Impact

• Shareholders: The increased insider ownership by the CEO may be perceived as a positive sign of management's commitment and belief in the company's value, potentially boosting investor confidence. The PIPE transaction itself implies dilution for existing shareholders if new shares were issued, but also provides capital.
• Company (Apollomics Inc.): The PIPE investment provides capital, which can be used for operations, research, or other strategic initiatives.

Key Dates

Recommendation

The filing indicates a substantial increase in beneficial ownership by the CEO and his controlled entity through a PIPE investment, reaching 41.8% of the company's shares. This strong insider commitment is generally a positive signal, suggesting management's confidence in the company's long-term prospects. However, as a Schedule 13D, it primarily discloses ownership changes and does not provide detailed financial performance or operational updates. A seasoned investor would view this as a positive indicator but would require further fundamental analysis of Apollomics Inc.'s financial health, strategic direction, and market position before making a 'buy' or 'strong buy' recommendation. Therefore, a 'hold' recommendation is appropriate, acknowledging the positive insider action while awaiting more comprehensive data.

Keywords

Apollomics Inc., Hung-Wen Chen, King Regent Management Limited, Schedule 13D, PIPE Investment, Insider Ownership, Class A Ordinary Shares, Equity Investment