- Apollomics Inc. **changed its independent registered public accounting firm** on **October 13, 2025**, dismissing Grant Thornton LLP and appointing Marcum Asia CPAs LLP as its replacement, effective immediately.  **[1944885_0001193125-25-240576_d36995d6k.htm:0]** 
- On **October 14, 2025**, Nasdaq determined that Apollomics Inc. is in **compliance with its continued listing requirements**, leading to the cancellation of an appeal hearing and ensuring the company's securities will **remain listed** on The Nasdaq Stock Market.  **[1944885_0001193125-25-240576_d36995d6k.htm:0]** **[1944885_0001193125-25-240576_d36995dex991.htm:1]**

Apollomics Announces Auditor Change and Continued Nasdaq Listing

- Apollomics Inc. has **reversed its previously announced wind-up plans** and will continue clinical trial activities for APL-101 (vebreltinib).  **[1944885_0001193125-25-238927_d71728d6k.htm:0]** **[1944885_0001193125-25-238927_d71728dex991.htm:0]** **[1944885_0001193125-25-238927_d71728dex991.htm:1]** 
- This decision follows the receipt of **$4.1 million PIPE investments** on **September 3, 2025**, and the appointment of a new board of directors and management team.  **[1944885_0001193125-25-238927_d71728d6k.htm:0]** **[1944885_0001193125-25-238927_d71728dex991.htm:0]** 
- The new management team includes **Hung-wen (Howard) Chen** as Chief Executive Officer, **Yi-kuei (Alex) Chen** as Chief Operating Officer, and **Peter Lin** as Chief Financial Officer.  **[1944885_0001193125-25-238927_d71728d6k.htm:0]** **[1944885_0001193125-25-238927_d71728dex991.htm:0]** 
- The company is committed to the ongoing global multi-country, multi-center SPARTA clinical trial of APL-101 (vebreltinib) and aims to complete these trials.  **[1944885_0001193125-25-238927_d71728d6k.htm:0]** **[1944885_0001193125-25-238927_d71728dex991.htm:1]** 
- Apollomics currently has **12 full-time employees** and expects to reach **15 by October 31, 2025**, with plans to re-allocate headcount to the U.S. and Taiwan.  **[1944885_0001193125-25-238927_d71728d6k.htm:1]** **[1944885_0001193125-25-238927_d71728dex991.htm:1]**

Apollomics Inc. Reverses Wind-Up Plans and Commits to APL-101 Clinical Trials

- Apollomics Inc. received a Nasdaq delisting notification on **September 18, 2025**, based on the Staff's belief that the company is a "public shell".  **[1944885_0001193125-25-217820_d58766d6k.htm:0]** **[1944885_0001193125-25-217820_d58766dex991.htm:1]** 
- The company **disagrees** with this determination and filed an appeal on **September 23, 2025**, which will **stay the delisting** pending a Nasdaq Hearings Panel decision.  **[1944885_0001193125-25-217820_d58766d6k.htm:0]** **[1944885_0001193125-25-217820_d58766dex992.htm:0]** **[1944885_0001193125-25-217820_d58766dex991.htm:1]** **[1944885_0001193125-25-217820_d58766dex991.htm:2]** 
- On **September 12, 2025**, the Grand Court of the Cayman Islands issued a consent order to stay all further proceedings in the Cayman Litigation, which was initiated on July 22, 2024.  **[1944885_0001193125-25-217820_d58766d6k.htm:0]** **[1944885_0001193125-25-217820_d58766dex992.htm:0]** 
- Following a **$4.1 million** private placement and the appointment of a new board on **September 3, 2025**, Apollomics reversed its prior wind-up plans and is now continuing operations and expanding its vebreltinib program.  **[1944885_0001193125-25-217820_d58766dex991.htm:1]**

Apollomics Appeals Nasdaq Delisting Notification

- Apollomics Inc. completed a private placement (PIPE) on **September 3, 2025**, raising **$4.1 million** in gross proceeds by issuing **1.04 million Class A ordinary shares** at **$3.9317 per share**.  **[1944885_0001193125-25-194953_d56007d6k.htm:1]** 
- The company stated it was in need of **immediate and urgent financing** to support ongoing operations and meet current financial obligations.  **[1944885_0001193125-25-194953_d56007dex101.htm:0]** 
- Following the PIPE, Hung-Wen (Howard) Chen, who was appointed Chairman of the Board, and his affiliates beneficially own approximately **42%** of the outstanding Class A ordinary shares.  **[1944885_0001193125-25-194953_d56007d6k.htm:1]** 
- On the Closing Date, **five directors resigned** (Dr. Kenneth C. Carter, Wendy Hayes, Dr. Sanjeev Redkar, Glenn S. Vraniak, and Dr. Bob Lin), and **four new directors were appointed** (Howard Chen, Yi-Kuei Chen, Po-Jen Hsueh, and Hsien-Chu Tsai), with Howard Chen becoming Chairman.  **[1944885_0001193125-25-194953_d56007d6k.htm:1]** 
- An extraordinary general meeting of members, previously scheduled for September 4, 2025, was **cancelled** due to the funding provided by the PIPE.  **[1944885_0001193125-25-194953_d56007d6k.htm:3]**

Apollomics completes PIPE financing and reconstitutes board

- Apollomics Inc. (APLM) announced on **August 28, 2025**, the **termination of all U.S. employees**, including the CEO and CFO, effective **August 29, 2025**, and the expected **discontinuation of all SPARTA clinical trial activities** due to its cash position.  **[1944885_0001193125-25-190310_d51002d6k.htm:0]** 
- The company will hold an **Extraordinary General Meeting of Shareholders** on **September 4, 2025**, to seek approval for the **voluntary winding up of the Company**.  **[1944885_0001193125-25-190310_d51002d6k.htm:0]** **[1944885_0001193125-25-190310_d51002dex991.htm:0]** 
- The Board is recommending the winding up because the company is **unable to continue operations or pay its debts** and has been **unable to secure additional financing**.  **[1944885_0001193125-25-190310_d51002dex991.htm:2]** **[1944885_0001193125-25-190310_d51002dex991.htm:6]** 
- It is **unclear whether there will be any distributions for shareholders** if the winding up is approved, and the company **does not expect any distributions** for shareholders, warrant holders, or option holders.  **[1944885_0001193125-25-190310_d51002dex991.htm:3]** **[1944885_0001193125-25-190310_d51002dex991.htm:7]**

Apollomics (APLM)