Darren Lui Amends Aptorum Group Stake Filing

TL;DR

Darren Lui updated his Aptorum Group stake filing. Watch for more details.

AI Summary

Darren Lui, through CGY Investments, has amended their Schedule 13D filing for Aptorum Group Ltd on April 16, 2024. The filing indicates a change in the beneficial ownership of Aptorum Group Ltd's Class A Ordinary Shares. Specific details regarding the percentage change or new holdings are not explicitly stated in this excerpt, but the amendment signifies an update to their stake.

Why It Matters

Changes in significant shareholder filings like this can signal shifts in control or strategy for the company, potentially impacting its stock price.

Risk Assessment

Risk Level: medium — Schedule 13D filings often indicate significant stake changes by major investors, which can lead to volatility.

Key Players & Entities

• Darren Lui (person) — Filing person
• CGY Investments (company) — Filing entity
• Aptorum Group Ltd (company) — Subject company

FAQ

Key Financial Figures

• $0.00001 — me of Issuer) Class A Ordinary Shares, $0.00001 par value per share (Title of Class of
• $99,999.57 — ares for an aggregate purchase price of $99,999.57 (the “ Subscription Shares &rdquo
• $1.00 — s ”) for a total consideration of $1.00 in the capital of the Company. On May
• $13,000 — uo;s mother in a private transaction at $13,000. On March 14, 2024, CGY Investments s
• $7.77 — on open market at a per share price of $7.77. On March 31, 2024, CGY Investments e
• $2.68 — Ordinary Shares at an exercise price of $2.68 per share, the payment of which was cov

Filing Documents

• ea0203963-13da4darren_aptor.htm (SC 13D/A) — 103KB
• 0001213900-24-033465.txt ( ) — 104KB

From the Filing

SC 13D/A 1 ea0203963-13da4darren_aptor.htm AMENDMENT NO. 4 TO SCHEDULE 13D Securities and Exchange Commission, Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 Amendment No. 4* APTORUM GROUP LIMITED (Name of Issuer) Class A Ordinary Shares, $0.00001 par value per share (Title of Class of Securities) G6096M122 (CUSIP Number) 17 th Floor, Guangdong Investment Tower 148 Connaught Road Central Hong Kong Telephone: +852 2117 6611 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 8, 2024 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13-1(f) or 13d-1(g), check the following box . * The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP Number: G6096M106 (1) Name of Reporting Persons: CGY Investments Limited (“ CGY Investments ”) (1) S.S. or I.R.S. Identification Nos. of above persons: (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) (3) SEC Use Only (4) Source of Funds (See Instructions) OO (5) Check if Disclosure of Legal Proceedings is required Pursuant to Items 2(d) or 2(e) (6) Citizenship or Place of Organization: Hong Kong Number of Shares Beneficially Owned By Each Reporting Person With (7) Sole Voting Power: 0 (8) Shared Voting Power: 533,575 (2) (9) Sole Dispositive Power: 0 (10) Shared Dispositive Power: 533,575 (2) (11) Aggregate Amount Beneficially Owned by Each Reporting Person: 533,575 (2) (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see Instructions). (13) Percent of Class Represented by Amount in Row (11): 14.5% (3) (14) Type of Reporting Person (See Instructions): CO (1) CGY Investments is 50% held by Seng Fun Yee (Mr. Darren Lui’s spouse), 25% held by Mandy Lui (Mr. Darren Lui’s sister) and 25% held by Adrian Lui (Mr. Darren Lui’s brother). Mr. Darren Lui however, controls and/or has substantial influence on the disposition and voting rights of the shares held by his spouse, but no such control over the shares held by his sister or brother. (2) This represents 533,575 Class A Ordinary Shares owned by CGY Investments. (3) There were 3,674,164 Class A Ordinary Shares and 1,796,934 Class B Ordinary Shares (such Class B Ordinary Shares are entitled to 179,693,400 votes) issued and outstanding as of April 8, 2024. Although 533,575 Class A Ordinary Shares represents 14.5% of the voting power of the Class A Ordinary Shares, it only represents 0.3% of the voting power with respect to all of our Class A Ordinary Shares and Class B Ordinary Shares, which vote together as a single class. 2 CUSIP Number: G6096M122 (1) Name of Reporting Persons: Darren Lui (“ Darren ” or “ Mr. Lui ”) S.S. or I.R.S. Identification Nos. of above persons: (2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) (3) SEC Use Only (4) Source of Funds (See Instructions) OO (5) Check if Disclosure of Legal Proceedings is required Pursuant to Items 2(d) or 2(e) (6) Citizenship or Place of Organization: Hong Kong Number of Shares Beneficially Owned By Each Reporting Person With (7) Sole Voting Power: 0 (8) Shared Voting Power: 266,788 (1) (9) Sole Dispositive Power: 0 (10) Shared Dispositive Power: 266,788 (1) (11) Aggregate Amount Beneficially Owned by Each Reporting Person: 266,788 (1) (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (see Instructions). (13) Percent of Class Represented by Amount in Row (11): 7.3% (2) (14) Type of Reporting Person (See Instructions): IN (1) This includes 266,788 Class A Ordinary Shares Mr. Lui controls through his spouse’s 50% ownership of CGY Investments. (2) There were 3,674,164 Class A Ordinary Shares and 1,796,934 Class B Ordinary Shares (such Class B Ordinary Shares are entitled to 179,693,400 votes) issued and outstanding as of April 8, 2024. Although 266,788 Class A Ordinary Shares represents 7.3% of the voting power of the Class A Ordinary Shares, it only represents 0.2% of the voting power wi

View Full Filing

View this SC 13D/A filing on SEC EDGAR