FORM 3A - Director/Chief Executive Notice - Interests in Shares of Listed Corporation
 
Form Serial Number: DA20231102E00386
1. Date of relevant event: 02/11/2023
(dd/mm/yyyy)
2. Date when director became aware of the relevant event/ interest in the shares (if later):
(dd/mm/yyyy)
3. Stock code: 09926
4. Name of listed corporation: Akeso, Inc. 
5. Class of shares: Ordinary Shares 
6. Number of issued shares in class: 841,057,176
7. Name of director (English) as printed on HKID Card/Passport:
(Surname) Xia
(Other names) Yu
10. Name of director (Chinese): 夏瑜 
11. Chinese Character Code as printed on HKID Card:
 
24. Details of relevant event:
  Brief description of relevant event Capacity in which shares were/are held Number of shares bought/sold or involved Currency of transaction On Exchange Off Exchange
Before relevant event After relevant event Highest price (per share) Average price (per share) Average consideration (per share) Consideration code
Long position 
1213The number of shares in which you are interested has reduced because:
any other event (you must briefly describe the relevant event in the Supplementary Information box)
 
2501Other (you must describe the capacity in the Supplementary Information box)
 
2501Other (you must describe the capacity in the Supplementary Information box)
 
500,000         
 
Short position 
 
 
 
           
 
25. Total shares in listed corporation immediately before the relevant event:
 Total number of sharesPercentage figure (%)
Long position242,115,50328.79
 
26. Total shares in listed corporation immediately after the relevant event:
 Total number of sharesPercentage figure (%)
Long position241,615,50328.73
 
27. Capacity in which interests disclosed in Box 26 are held:
Code describing capacityNumber of shares
2201Interest of corporation controlled by you
Long position21,000,000
2301Trustee
Long position59,771,042
2501Other (you must describe the capacity in the Supplementary Information box)
Long position134,870,582
2501Other (you must describe the capacity in the Supplementary Information box)
Long position25,973,879
 
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
  BeginsEndsCurrencyPrice for grantCurrencyExercise priceCurrencyPrice on assignment 
           
 
29. Further information in relation to interests of children under 18 and/or spouse:
Child/SpouseName of child/spouseNumber of shares
 
 
30. Further information in relation to interests of corporations controlled by Director:
Name of controlled corporationAddress and place of incorporationName of controlling person% controlDirect interest (Y/N)Number of shares
Golden Oaks LLC1301 Shoreway Rd Ste. 160, Belmont, CA 94002, United States of AmericaXia Yu100.00Y
Long position21,000,000
 
31. Further information in relation to interests held by Director jointly with another person:
Name of joint shareholderAddressNumber of shares
 
 
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 TrustAddressStatus codeNumber of shares
The GEMSTONE LIVING TRUST dated June 11, 2019Addresses of individuals are not displayed.
5101Trustee of a trust
Long position59,771,042
 
33. Further information from a party to an agreement under Section 317 (Please see Notes for further information required):
Names of other partiesAddressNumber of shares
 
Total number of shares in which a director is interested under sections 317 and 318
 
34. Supplementary information: Boxes 24 and 27: Dr. XIA controls Shares (a) through her wholly-owned company, (b) as trustee of The GEMSTONE LIVING TRUST, (c) as enforcer of RSU trust in respect of 25,973,879 Shares, (d) voting right in Shares entrusted by LI Baiyong, WANG Zhongmin Maxwell, ZHANG Peng, and their controlled corporations in respect of 134,870,582 Shares. Dr. XIA's interest was reduced as a result of the disposal of 500,000 Shares by WANG Zhongmin Maxwell on November 2, 2023.
35. Log/Serial Number of the previous form:
36. Number of concert party document(s) under section 317 attached/uploaded:
Date of filing this Form 3A: 02/11/2023
(dd/mm/yyyy)