Lu Simon Dazhong Amends Ascentage Pharma Ownership Filing
| Field | Detail |
|---|---|
| Company | Lu Simon Dazhong |
| Form Type | 3/A |
| Filed Date | Mar 23, 2026 |
| Risk Level | low |
| Pages | 2 |
| Reading Time | 2 min |
| Sentiment | neutral |
Complexity: simple
Sentiment: neutral
Topics: insider-ownership, amendment, form-3, beneficial-ownership
TL;DR
**Insider Lu Simon Dazhong just amended their Ascentage Pharma ownership filing.**
AI Summary
This 3/A filing is an amendment to an initial statement of beneficial ownership for Lu Simon Dazhong, a reporting individual, regarding securities of Ascentage Pharma Group International (CIK: 0002023311). Filed on March 23, 2026, this amendment updates a previous filing from March 18, 2026. For investors, this matters because it provides updated information on an insider's holdings, which can signal their confidence in the company's future, though the specific changes are not detailed in this summary filing.
Why It Matters
This amendment provides updated information on an insider's stake in Ascentage Pharma, which can influence investor perception and stock valuation.
Risk Assessment
Risk Level: low — This filing is an amendment to a routine insider ownership disclosure and does not inherently indicate significant risk.
Analyst Insight
Investors should note this amendment and look for the specific changes in the detailed filing documents to understand any shifts in Lu Simon Dazhong's beneficial ownership of Ascentage Pharma. This could signal an insider's updated view on the company.
Key Players & Entities
- Lu Simon Dazhong (person) — Reporting individual
- Ascentage Pharma Group International (company) — Issuer of securities
- 0002120071 (company) — CIK for Lu Simon Dazhong
- 0002023311 (company) — CIK for Ascentage Pharma Group International
- 2026-03-23 (date) — Filing Date
- 2026-03-18 (date) — Period of Report
FAQ
What is the purpose of a 3/A filing?
A 3/A filing is an amendment to an initial statement of beneficial ownership of securities (Form 3). It is used to correct or update information previously reported in the original Form 3, as indicated by the filing description 'Initial statement of beneficial ownership of securities: [Amend]'.
Who is the reporting person in this filing and what company's securities are involved?
The reporting person is Lu Simon Dazhong (CIK: 0002120071), and the securities involved are those of Ascentage Pharma Group International (CIK: 0002023311).
When was this 3/A filing submitted and what was the original report period?
This 3/A filing was submitted on March 23, 2026, and it amends a report for the period of March 18, 2026.
Filing Stats: 558 words · 2 min read · ~2 pages · Grade level 8.4 · Accepted 2026-03-23 19:18:40
Filing Documents
- marketforms-72709.html (3/A)
- marketforms-72709.xml (3/A) — 5KB
- poa.htm (EX-24) — 6KB
- 0001213900-26-033131.txt ( ) — 13KB
From the Filing
SEC FORM 3/A 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 * Lu Simon Dazhong (Last) (First) (Middle) 700 KING FARM BLVD STE 510 (Street) ROCKVILLE MARYLAND 20850 (City) (State) (Zip) UNITED STATES (Country) 2. Date of Event Requiring Statement (Month/Day/Year) 03/18/2026 3. Issuer Name and Ticker or Trading Symbol ASCENTAGE PHARMA GROUP INTERNATIONAL [ AAPG ] 3a. Foreign Trading Symbol 5. If Amendment, Date of Original Filed (Month/Day/Year) 03/19/2026 4. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner Officer (give title below) Other (specify below) 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 (1) 41,457 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 Options (2) 11/26/2035 Ordinary Shares 17,965 (5) $ 8.14 (3) D Restricted share units (4) (4) Ordinary Shares 27,965 $ 0 D Explanation of Responses: 1. The number of Ordinary Shares were inadvertently not reported in the original submission. 2. The Share Options vest in twelve (12) tranches equally on the 26th of the month starting November 26, 2025. 3. The exercise price for the stock options is in HKD, and the exercise price included in the table represents conversion to USD based on the exchange rate on the date of grant. 4. Each restricted stock unit (RSUs) represents a contingent right to receive one Ordinary Share of the Issuer upon vesting. The RSUs vest in four equal increments on each of 11/26/2026, 2027, 2028 and 2029. 5. The number of Share Options and/or the vesting were inadvertently incorrectly stated in the original submission. Remarks: This form is filed using a special power of attorney. Thomas J. Knapp 03/18/2026 ** 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. * Form 3: SEC 1473 (03-26)