Wei-Wu He - 18 Mar 2026 Form 3 Insider Report for CASI Pharmaceuticals, Inc. (CASIF)

Role
Director, 10%+ Owner
Signature
/s/ Wei-Wu He
Issuer symbol
CASIF
Transactions as of
18 Mar 2026
Net transactions value
$0
Form type
3
Filing time
18 Mar 2026, 19:06:22 UTC
Previous filing
17 Jun 2022
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
He Wei-Wu Director, 10%+ Owner 1701-1702, CHINA CENTRAL OFFICE TOWER 1,, NO. 81 JIANGUO ROAD CHAOYANG DISTRICT, BEIJING, CHINA /s/ Wei-Wu He 18 Mar 2026 0001542073

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CASIF Ordinary Share 1,910,550 18 Mar 2026 Direct
holding CASIF Ordinary Share 44,107 18 Mar 2026 See Footnote F1
holding CASIF Ordinary Share 753,234 18 Mar 2026 See Footnote F2
holding CASIF Ordinary Share 300,000 18 Mar 2026 See Footnote F3
holding CASIF Ordinary Share 100,000 18 Mar 2026 See Footnote F4
holding CASIF Ordinary Share 637,644 18 Mar 2026 See Footnote F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CASIF Convertible Note (right to convert) 18 Mar 2026 Ordinary Share See Footnote F6, F7
holding CASIF Convertible Note (right to convert) 18 Mar 2026 Ordinary Share See Footnote F6, F7
holding CASIF Convertible Note (right to convert) 18 Mar 2026 Ordinary Share See Footnote F6, F7
holding CASIF Option (right to buy) 18 Mar 2026 Ordinary Share 20,000 $1.93 Direct
holding CASIF Option (right to buy) 18 Mar 2026 Ordinary Share 20,000 $1.93 Direct
holding CASIF Option (right to buy) 18 Mar 2026 Ordinary Share 100,000 $1.93 Direct
holding CASIF Option (right to buy) 18 Mar 2026 Ordinary Share 100,000 $1.93 Direct
holding CASIF Option (right to buy) 18 Mar 2026 Ordinary Share 300,000 $1.93 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Held by Emerging Technology Partners, LLC, a Delaware limited liability company, of which Dr. He is founder and managing partner.
F2 Held by ETP Global Fund. L.P., a Delaware limited partnership, of which Emerging Technology Partners, LLC is the general partner.
F3 Held by ETP BioHealth III Fund, L.P., a Delaware limited partnership, of which Emerging Technology Partners, LLC is the general partner.
F4 Held by HE Family GRAT, a grantor retained annuity trust organized under the law of Nevada for the benefit of Dr. Wei-Wu He's family members, and Dr. Wei-Wu He is the trustee of HE Family GRAT.
F5 Held by Huiying Memorial Foundation, a 501(c)(3) private family foundation under the law of Delaware and Dr. He is a member of the board of trustees and an officer of the Huiying Memorial Foundation. Dr. He does not participate in the investment decisions of the Foundation with respect to CASI's ordinary shares and disclaims beneficial ownership of CASI's ordinary shares held by Huiying Memorial Foundation.
F6 The conversion price is volume weighted average closing price of the issuer's Ordinary Shares during the five consecutive trading days immediately preceding the date of conversion notice by ETP Global Fund III L.P. In no event shall the conversion price be higher than US $2 per Ordinary Share or lower than US $1 per Ordinary Share. Pursuant to the trading price of the issuer's ordinary shares as of March 17, 2026, the amount of ordinary shares convertible under each Note is 5,000,000 (without considering accrued but unpaid interest).
F7 Held by ETP Global Fund III L.P., , a Delaware limited partnership, of which Emerging Technology Partners, LLC is the general partner.
F8 Performance based options granted and exercisable upon achievement.