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Form Serial Number: |
DA20230210E00317
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| 1.
Date of relevant event: |
09/02/2023
(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: |
964,716,387 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
XU |
| (Other names) |
Ting |
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| 10.
Name of director (Chinese): |
徐霆 |
| 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 |
| 1111 | The number of shares in which you are interested has increased because:
new shares were issued to you after you have reduced your interest in shares by placing them to placee(s) under a top-up placing |
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| 2307 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
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| 2307 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
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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 | 312,536,450 | 33.26 |
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| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 337,536,450 | 34.98 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
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| 2202 | Interest of your spouse |
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| 2307 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
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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 | LIU Yang | |
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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 |
| Rubymab Ltd. | Address: Commerce House, Wickhams Cay 1, P. O. Box 3140, Road Town, Tortola, British Virgin Islands VG1110; Place of Incorporation: the British Virgin Islands | XU Ting | 100.00 | Y | |
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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. | | 5103 | Founder of a discretionary trust who can influence how the trustee exercises his discretion |
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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, a discretionary trust set up by XU Ting; (2) On February 9, 2023, 25,000,000 new Shares of the Company were alloted and issued to Rubymab Ltd. under general mandate pursuant to the placing and subscription agreement dated February 3, 2023. For details, please refer to the Company's announcements dated February 3, 2023 and February 9, 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: |
10/02/2023
(dd/mm/yyyy)
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