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Form Serial Number: |
DA20230208E00128
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| 1.
Date of relevant event: |
03/02/2023
(dd/mm/yyyy)
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| 2.
Date when director became aware of the relevant event/ interest in the shares (if later): |
(dd/mm/yyyy)
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| 3.
Stock code: |
09966 |
| 4.
Name of listed corporation: |
Alphamab Oncology - B |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
939,716,387 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
LIU |
| (Other names) |
Yang |
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| 10.
Name of director (Chinese): |
刘阳 |
| 11.
Chinese Character Code as printed on HKID Card: |
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| 24.
Details of relevant event: |
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Brief description of relevant event
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Capacity in which shares were/are held
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Number of shares bought/sold or involved
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Currency of transaction |
On Exchange
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Off Exchange
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Before relevant event
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After relevant event
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Highest price (per share)
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Average price (per share)
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Average consideration (per share)
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Consideration code
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| Long position |
| 1209 | The number of shares in which you are interested has reduced because:
you placed the shares to placee(s) under a top-up placing |
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| 2305 | Beneficiary of a trust (other than a discretionary interest) |
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| 2305 | Beneficiary of a trust (other than a discretionary interest) |
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25,000,000 |
HKD |
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15.2200 |
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| Short position |
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| 25.
Total shares in listed corporation immediately before the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 337,536,450 | 35.92 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 312,536,450 | 33.26 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
| 2305 | Beneficiary of a trust (other than a discretionary interest) |
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| 2202 | Interest of your spouse |
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| 2202 | Interest of your spouse |
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| 28.
Further information in derivative interests in listed corporation : |
| Derivatives code |
Exercise period (dd/mm/yyyy) |
Consideration - if derivatives granted by listed corporation |
Number of shares |
| | | Begins | Ends | Currency | Price for grant | Currency | Exercise price | Currency | Price on assignment | |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 30/06/2019 | 30/06/2029 | | | USD | 0.014 | | | 10,508,830 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 08/11/2019 | 08/11/2029 | | | USD | 0.014 | | | 2,000,000 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 30/06/2019 | 30/06/2029 | | | USD | 0.490 | | | 4,234,670 |
| Long position | | 4108 | Unlisted derivatives - Other (you must describe the category of derivatives in the Supplementary Information box) |
| 10/10/2018 | 10/10/2028 | | | USD | 0.014 | | | 2,240,000 |
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| 29.
Further information in relation to interests of children under 18 and/or spouse: |
| Child/Spouse | Name of child/spouse | Number of shares |
| Spouse | XU Ting | |
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| 30.
Further information in relation to interests of corporations controlled by Director: |
| Name of controlled corporation | Address and place of incorporation | Name of controlling person | % control | Direct interest (Y/N) | Number of shares |
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| 31.
Further information in relation to interests held by Director jointly with another person: |
| Name of joint shareholder | Address | Number of shares |
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| 32.
Further information from a director who is a trustee, or beneficiary of a trust, or a person who has set up a Discretionary Trust: |
| Names of Trust | Address | Status code | Number of shares |
| Liu1202 Family Trust | Addresses of individuals are not displayed. | | 5102 | Beneficiary of a trust (other than a discretionary interest) |
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| 33.
Further information from a party to an agreement under Section 317 (Please see Notes for further information required): |
| Names of other parties | Address | Number of shares |
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| Total number of shares in which a director is interested under sections 317 and 318 | |
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| 34.
Supplementary information: |
(1) Rubymab Ltd. is a Shareholder of the Company and wholly owned by South Dakota Trust Company LLC as the trustee of Liu1202 Family Trust, with LIU Yang as one of the beneficiaries; (2) On February 3, 2023, Rubymab Ltd. entered into a placing and subscription agreement with the Company and Jefferies Hong Kong Limited to place 25,000,000 Shares, details of which are set out in the Company's announcement dated February 3, 2023.
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| 35.
Log/Serial Number of the previous form: |
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| 36.
Number of concert party document(s) under section 317 attached/uploaded: |
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Date of filing this Form 3A: |
08/02/2023
(dd/mm/yyyy)
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