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Form Serial Number: |
DA20240327E00456
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| 1.
Date of relevant event: |
22/03/2024
(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: |
01801 |
| 4.
Name of listed corporation: |
Innovent Biologics, Inc. |
| 5.
Class of shares: |
Ordinary Shares |
| 6.
Number of issued shares in class: |
1,622,582,897 |
| 7.
Name of director (English) as printed on HKID Card/Passport: |
| (Surname) |
Yu |
| (Other names) |
De-Chao Michael |
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| 10.
Name of director (Chinese): |
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| 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 |
| 11031 | The number of shares in which you are interested has increased because:
you became the holder of, wrote or issued equity derivatives under which (choose one):
you have a right to take the underlying shares |
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3,726,000 |
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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 | 126,400,248 | 7.79 |
| Short position | 371,747 | 0.02 |
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| |
| 26.
Total shares in listed corporation immediately after the relevant event: |
| | Total number of shares | Percentage figure (%) |
| Long position | 130,126,248 | 8.02 |
| Short position | 371,747 | 0.02 |
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| 27.
Capacity in which interests disclosed in Box 26 are held: |
| Code describing capacity | Number of shares |
| | Long position | 108,703,653 | | Short position | 371,747 |
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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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| 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 | | 4105 | Unlisted derivatives - Physically settled |
| | | HKD | 0 | | | | | 2,754,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 22/03/2024 | 22/03/2034 | HKD | 1 | HKD | 40.240 | | | 972,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| | | HKD | 0 | | | | | 2,430,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 30/03/2023 | 30/03/2033 | HKD | 1 | HKD | 38.390 | | | 1,620,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| | | HKD | 0 | | | | | 2,032,334 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 30/03/2022 | 30/03/2032 | HKD | 1 | HKD | 30.600 | | | 1,354,889 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| | | HKD | 0 | | | | | 725,000 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 30/03/2021 | 30/03/2031 | HKD | 1 | HKD | 78.200 | | | 1,035,714 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| | | HKD | 0 | | | | | 362,500 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 15/04/2020 | 15/04/2030 | HKD | 1 | HKD | 33.950 | | | 2,071,429 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| | | HKD | 0 | | | | | 1,380,360 |
| Long position | | 4105 | Unlisted derivatives - Physically settled |
| 15/03/2019 | 15/03/2029 | HKD | 1 | HKD | 28.300 | | | 4,142,857 |
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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 |
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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 |
| Yu Tong Family Irrevocable 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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| Madrone Grove Dynasty 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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| Jenelope Dynasty 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: |
In Box 24, the 3,726,000 shares represent the sum of (1) the 972,000 shares to be subscribed upon full exercise of the options granted under the Post-IPO ESOP of the Company on 22 March 2024, and (2) the 2,754,000 shares to be issued upon full vesting of the restricted shares granted under the 2020 RS Plan of the Company on 22 March 2024, the grant of which is subject to independent Shareholders' approval at the Company's AGM on 21 June 2024.
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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: |
27/03/2024
(dd/mm/yyyy)
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