Mga Batayang Estadistika
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| CIK | 1734005 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aptorum Group Limited
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| July 22, 2025 |
Exhibit 10.4 StockHOLDERS AGREEMENT by and among APTORUM GROUP LIMITED And THE StockHOLDERS THAT ARE SIGNATORIES HERETO Dated as of , 2025 StockHOLDERS AGREEMENT THIS StockHOLDERS AGREEMENT (as it may be amended from time to time in accordance with the terms hereof, this “Agreement”), dated as of , 2025, is made by and among Aptorum Group Limited, a Cayman Islands exempted company with limited lia |
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| July 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2025 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the reg |
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| July 22, 2025 |
Limited Interim Patent and Know-How License Agreement Exhibit 10.2 Limited Interim Patent and Know-How License Agreement This Limited Interim Patent and Know-How License Agreement (“Agreement”), dated as of July 14, 2025 (the “Effective Date”), is by and between DiamiR Biosciences Corp., a corporation incorporated in the State of Delaware, with offices located at 116 Village Boulevard, Suite 200 Princeton, New Jersey 08540 (“DiamiR”) and DiamiR, LLC, |
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| July 22, 2025 |
Exhibit 10.1 MANAGEMENT SERVICES AGREEMENT THIS MANAGEMENT SERVICES AGREEMENT (this “Agreement”), dated as of July 14, 2025 (the “Effective Date”), is entered into by and among DiamiR Biosciences Corp. a Delaware, U.S., incorporated company (the “Service Provider”) and Aptorum Therapeutics Limited (“Aptorum Therapeutics,” a Cayman Islands exempted company with limited liability and (Service Provid |
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| July 22, 2025 |
Exhibit 10.3 VOTING AND SUPPORT AGREEMENT This VOTING AND SUPPORT AGREEMENT (this “Agreement”) is entered into as of July 14, 2025, by and between Aptorum Group Limited (the “ListCo”), DiamiR Biosciences Corp., a Delaware corporation (“DiamiR”), and Ian Huen (the “Shareholder”). ListCo, DiamiR, and the Shareholder are sometimes referred to herein as a “Party” and collectively as the “Parties”. W I |
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| July 22, 2025 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER by and between APTORUM GROUP LIMITED and DIAMIR BIOSCIENCES CORP. dated as of July 14, 2025 Table of Contents Contents ARTICLE I CERTAIN DEFINITIONS 2 Section 1.01 Definitions 2 Section 1.02 Construction 9 ARTICLE II PRE-CLOSING TRANSACTIONS 10 Section 2.01 Pre-Closing Conversion; Domestication 10 ARTICLE III THE MERGER; CLOSING 10 Section 3.01 The Merger 1 |
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| July 22, 2025 |
Aptorum Group Limited and DiamiR Biosciences Enter into Definitive Merger Agreement Exhibit 99.1 Source: Aptorum Group Ltd July 16, 2025 08:38 ET Aptorum Group Limited and DiamiR Biosciences Enter into Definitive Merger Agreement NEW YORK, July 16, 2025 (GLOBE NEWSWIRE) - Aptorum Group Limited (NASDAQ: APM) (“Aptorum Group,” “Aptorum” or the “Company”), a clinical stage biopharmaceutical company dedicated to addressing unmet medical needs in oncology and infectious diseases, and |
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| April 30, 2025 |
Independent Registered Public Accounting Firm’s Consent Exhibit 15.1 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement on Form F-3 (FILE NO. 333-268873) and Form S-8 (FILE NO. 333-281028) of our report dated April 30, 2025 relating to the consolidated financial statements of Aptorum Group Limited appearing in this Annual Report on Form 20-F for the year ended December 31, |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| April 30, 2025 |
Certifications Pursuant to 18 U.S.C. Section 1350 Exhibit 13.1 Certifications Pursuant to 18 U.S.C. Section 1350 Pursuant to U.S.C. Section 1350 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), the undersigned officers of Aptorum Group Limited (the “Company”), do hereby certify, to such officer’s knowledge, that: The Annual Report on Form 20-F for the year ended December 31, |
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| April 30, 2025 |
Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Wong Kwok Kuen, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fac |
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| April 30, 2025 |
Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ian Huen, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or o |
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| April 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| April 16, 2025 |
Exhibit 99.1 Aptorum Group Limited Announces Receipt of Nasdaq Notification Regarding Minimum Bid Price Deficiency Hong Kong, April 16, 2025 (GLOBE NEWSWIRE) - Aptorum Group Limited (NASDAQ: APM), a leading Biotechnology company, today announced that it has received a notification from the Nasdaq Stock Market LLC dated 15 April 2025 regarding non-compliance with the minimum bid price requirement o |
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| January 10, 2025 |
Exhibit A Joint Filing Agreement The undersigned agree that this Schedule 13G, and all amendments thereto, relating to the Class A Ordinary Shares of Aptorum Group Limited shall be filed on behalf of the undersigned. |
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| January 10, 2025 |
Exhibit B Due to the relationships between them, the reporting persons hereunder may be deemed to constitute a “group” with one another for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934. |
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| January 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2025 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| January 7, 2025 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of January 2, 2025, between Aptorum Group Limited, a company organized under the laws of the Cayman Islands (the “Company”), and each purchaser identified on the signature pages attached hereto (each, including its successors and assignees, a “Purchaser” and collectively the “Purchasers”). |
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| January 7, 2025 |
Aptorum Group Limited Announces Pricing of $3.0 Million Registered Direct Offering Exhibit 99.1 Aptorum Group Limited Announces Pricing of $3.0 Million Registered Direct Offering NEW YORK, January 2, 2025 - (BUSINESS WIRE) - Aptorum Group Limited (NASDAQ: APM) (“Aptorum Group” or the “Company”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune and infectious diseases, today announced that it has entered into a securities |
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| January 3, 2025 |
1,535,000 Class A Ordinary Shares APTORUM GROUP LIMITED Filed pursuant to Rule 424(b)(5) Registration No. 333-268873 Prospectus Supplement (To Prospectus dated December 19, 2022) 1,535,000 Class A Ordinary Shares APTORUM GROUP LIMITED This is an offering of the securities of Aptorum Group Limited (the “Company”, “we”, “our”, “us”, “APM”), a Cayman Islands exempted company with limited liability. This prospectus supplement and the accompanying base pros |
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| December 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| December 20, 2024 |
Financial Statements Table of Contents Exhibit 99.1 Financial Statements Table of Contents Unaudited Condensed Consolidated Balance Sheets as of June 30, 2024 and December 31, 2023 F-2 Unaudited Condensed Consolidated Statements of Operations and Comprehensive Loss for the six months ended June 30, 2024 and 2023 F-3 Unaudited Condensed Consolidated Statements of Changes in Equity for the six months ended June 30, 2024 and 2023 F-4 Unau |
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| December 20, 2024 |
Exhibit 99.3 Aptorum Group Limited Reports Financial Results and Business Update for the Six Months Ended June 30, 2024 Aptorum Group Limited (NASDAQ: APM) (“Aptorum Group” or the “Company”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune and infectious diseases, today provided a business update and announced financial results for the si |
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| December 20, 2024 |
Exhibit 99.2 OPERATING AND FINANCIAL REVIEW AND PROSPECTS IN CONNECTION WITH THE UNAUDITED INTERIM CONSOLIDATED FINANCIAL STATEMENTS FOR THE SIX MONTHS ENDED JUNE 30, 2024 AND 2023 You should read the following discussion and analysis of our financial condition and results of operations in conjunction with our unaudited consolidated financial statements and the related notes included elsewhere in |
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| December 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| November 8, 2024 |
Exhibit 99.2 |
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| November 8, 2024 |
Exhibit 99.1 APTORUM GROUP LIMITED (a Cayman Islands exempted company with limited liability) (NASDAQ: APM) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting of shareholders (the “2024 Annual Meeting”) of Aptorum Group Limited (the “Company”) will be held on December 10, 2024, at 9:00 pm , Hong Kong time, at 17/F., Guangdong Investment Tower, 1 |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| November 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| October 25, 2024 |
Exhibit 2.1 TERMINATION AGREEMENT This TERMINATION AGREEMENT (this “Agreement”) is made as of October 25, 2024 by and between Aptorum Group Limited, an exempted company incorporated in Cayman Islands with limited liability (the “ListCo”) and YOOV Group Holding Limited (the “Company”). RECITALS Reference is made to the Agreement and Plan of Merger by and between the ListCo and the Company dated as |
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| October 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2024 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether th |
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| August 9, 2024 |
Exhibit 10.0 August 7, 2024 Mr. Wong Kwok Kuen Present Appointment Letter Dear Mr. Wong, We are pleased and welcome your acceptance to be appointed as the Head of Finance of Aptorum Group Limited (“AGL” or the “Group”). You shall be engaged under APTUS Management Limited (“AML” or the “Company”), a wholly owned subsidiary of AGL. AGL is incorporated with limited liabilities under the laws of Cayma |
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| August 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2024 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| July 26, 2024 |
Exhibit 107 CALCULATION OF FILING FEE TABLES Form S-8 (Form Type) APTORUM GROUP LIMITED (Exact name of Registrant as specified in its charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule (2) Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price (2) Fee Rate Amount of Registration Fee Equity Class A ordinary shares, par value $0. |
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| July 26, 2024 |
As filed with the Securities and Exchange Commission on July 26, 2024. As filed with the Securities and Exchange Commission on July 26, 2024. Registration No. 333-[●] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 APTORUM GROUP LIMITED (Exact name of registrant as specified in its charter) Cayman Islands Not Applicable (State or other jurisdiction of incorporation or organizatio |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2024 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the regi |
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| May 31, 2024 |
Aptorum Group Limited 17 Hanover Square London X0 W1S 1BN Exhibit 2.1 Aptorum Group Limited 17 Hanover Square London X0 W1S 1BN May 28, 2024 YOOV Group Holding Limited 19/F Rykadan Capital Limited 135 Hoi Bun Road Kwun Tong Hong Kong Re: Amendment to Merger Agreement Dear Wong Ling Yan Philip: Reference is made to that certain Agreement dated March 1, 2024, (the “Merger Agreement”) by and between YOOV Group Holding Limited (the “Company”) and Aptorum Gro |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| April 30, 2024 |
Certifications Pursuant to 18 U.S.C. Section 1350 Exhibit 13.1 Certifications Pursuant to 18 U.S.C. Section 1350 Pursuant to U.S.C. Section 1350 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), the undersigned officers of Aptorum Group Limited (the “Company”), do hereby certify, to such officer’s knowledge, that: The Annual Report on Form 20-F for the year ended December 31, |
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| April 30, 2024 |
Exhibit 99.1 Aptorum Group Limited Reports 2023 Fiscal Year End Financial Results and Provides Business Update Aptorum Group Limited (Nasdaq: APM) (“Aptorum Group” or “We”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced financial results for the fiscal year ended December 31, 2023, and p |
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| April 30, 2024 |
Independent Registered Public Accounting Firm’s Consent Exhibit 15.1 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of Aptorum Group Limited on Form F-3 (FILE NO. 333-268873) and Form S-8 (FILE NO. 333-232591) of our report dated April 30, 2024, with respect to our audits of the consolidated financial statements of Aptorum Group Limited as of December 31, 2023 and 2022, |
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| April 30, 2024 |
Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Martin Siu, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or |
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| April 30, 2024 |
Exhibit 97.1 APTORUM GROUP LIMITED Policy for the Recovery of Erroneously Awarded Compensation Effective: December 1, 2023 1. Introduction The Board of Directors (the “Board”) of APTORUM GROUP LIMITED (the “Company”) has adopted this policy, which provides for the recovery of certain executive compensation in the event of certain accounting restatements (the “Policy”). This Policy is designed to c |
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| April 30, 2024 |
Unit 110, Building 15W, Hong Kong Science Park, N.T., Hong Kong T: (852) 34697942 Exhibit 4.4 20 November 2023 Mr. HUEN Chung Yuen Ian Present Dear Ian, Re: Appointment as Chief Executive Officer We refer to the employment contract entered into between the Company, and you dated 1 June 2022 and hereby inform you in writing, effective 24 November 2023, you will be appointed as Chief Executive Officer of Aptorum Group Limited (“the Group”) whereas all other current employment ter |
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| April 30, 2024 |
Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ian Huen, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or o |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2024 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| April 16, 2024 |
APM / Aptorum Group Limited / Lui Darren - AMENDMENT NO. 4 TO SCHEDULE 13D Activist Investment SC 13D/A 1 ea0203963-13da4darrenaptor.htm AMENDMENT NO. 4 TO SCHEDULE 13D Securities and Exchange Commission, Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 Amendment No. 4* APTORUM GROUP LIMITED (Name of Issuer) Class A Ordinary Shares, $0.00001 par value per share (Title of Class of Securities) G6096M122 (CUSIP Number) 17th Floor, Guangdong Investment Tower 148 C |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2024 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the re |
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| March 6, 2024 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among APTORUM GROUP LIMITED and YOOV GROUP HOLDING LIMITED dated as of March 1, 2024 Table of Contents Page Article I CERTAIN DEFINITIONS 2 Section 1.01 Definitions 2 Section 1.02 Construction 9 Section 1.03 Table of Defined Terms 10 Article II PRE-CLOSING TRANSACTIONS 13 Section 2.01 Pre-Closing Transactions; Amendment 13 Article I |
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| March 6, 2024 |
Exhibit 10.2 EXECUTION VERSION SUPPORT AGREEMENT THIS SUPPORT AGREEMENT (this “Agreement”), dated as of March 1, 2024, is made by and among Aptorum Group Limited, a Cayman Islands exempted company with limited liability (“ListCo”), and YOOV Group Holding Limited, a company organized under the laws of British Virgin Islands (“Company”), and the undersigned holder (“Shareholder”) of ListCo Class A O |
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| March 6, 2024 |
Exhibit 10.3 FORM OF LOCK-UP AGREEMENT THIS LOCK-UP AGREEMENT (this “Agreement”) is made as of [●], 2024 by and among Aptorum Group Limited, a Cayman Islands company, which will be known after the consummation of the transactions contemplated by the Merger Agreement (as defined below) as “YOOV Group Holding Limited” or such other name as agreed by the parties to the Merger Agreement (including any |
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| March 6, 2024 |
Exhibit 10.1 EXECUTION VERSION SPLIT-OFF AGREEMENT This SPLIT-OFF AGREEMENT, dated as of March 1, 2024 (this “Agreement”), is entered into by and among Aptorum Group Limited, a Cayman Islands exempted company with limited liability (“Seller”), Aptorum Therapeutics Limited, a Cayman Islands exempted company with limited liability (“Split-Off Subsidiary”) and Jurchen Investment Corporation, a Britis |
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| March 6, 2024 |
Exhibit 99.1 Aptorum Group Ltd Announces Entering into an Agreement and Plan of Merger with YOOV Group Holding Ltd and a Split-off Agreement to Separate its Legacy Business NEW YORK & LONDON-(BUSINESS WIRE)—March 6, 2024. Aptorum Group Limited (Nasdaq: APM), a clinical stage biopharmaceutical company (“Aptorum”), and privately-held YOOV Group Holding Ltd. (“YOOV”) jointly announced today that they |
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| February 2, 2024 |
APM / Aptorum Group Limited / Hudson Bay Capital Management LP - APM 13G/A Passive Investment SC 13G/A 1 apm13ga.htm APM 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Aptorum Group Limited (Name of Issuer) Class A Ordinary shares, par value $0.001 per share (Title of Class of Securities) G6096M114 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the ap |
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| December 22, 2023 |
Financial Statements Table of Contents Exhibit 99.1 Financial Statements Table of Contents Condensed Consolidated Balance Sheets as of June 30, 2023 (Unaudited) and December 31, 2022 F-2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the six months ended June 30, 2023 and 2022 (Unaudited) F-3 Condensed Consolidated Statements of Changes in Equity for the six months ended June 30, 2023 and 2022 (Unaudited) F- |
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| December 22, 2023 |
Exhibit 99.3 Aptorum Group Limited Reports Financial Results and Business Update for the Six Months Ended June 30, 2023 Aptorum Group Limited (NASDAQ: APM) (“Aptorum Group” or the “Company”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune and infectious diseases, today provided a business update and announced financial results for the si |
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| December 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| December 22, 2023 |
Exhibit 99.2 OPERATING AND FINANCIAL REVIEW AND PROSPECTS IN CONNECTION WITH THE UNAUDITED INTERIM CONSOLIDATED FINANCIAL STATEMENTS FOR THE SIX MONTHS ENDED JUNE 30, 2023 AND 2022 You should read the following discussion and analysis of our financial condition and results of operations in conjunction with our unaudited consolidated financial statements and the related notes included elsewhere in |
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| December 21, 2023 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 ● F: (44) 20 3928 8277 Exhibit 99.1 Aptorum Group Limited Announces Results of 2023 Annual General Meeting of Shareholders Aptorum Group Limited (Nasdaq: APM) (“Aptorum Group” or “Aptorum”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, announced the results of its 2023 annual general meeting of shareholders, which was held o |
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| December 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| November 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether |
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| November 16, 2023 |
Aptorum Group Limited to Hold Annual General Meeting of Shareholders on December 20, 2023 Exhibit 99.3 Aptorum Group Limited to Hold Annual General Meeting of Shareholders on December 20, 2023 NEW YORK & LONDON -(BUSINESS WIRE)-November 16, 2023 Aptorum Group Limited (Nasdaq: APM) (“Aptorum Group” or “Aptorum”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced that it will hold |
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| November 16, 2023 |
Exhibit 99.1 APTORUM GROUP LIMITED (a Cayman Islands exempted company with limited liability) (NASDAQ: APM) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting of shareholders (the “2023 Annual Meeting”) of Aptorum Group Limited (the “Company”) will be held on December 20, 2023, at 1:00 p.m., London local time, at 17 Hanover Square, Mayfair Londo |
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| November 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| November 16, 2023 |
Exhibit 99.2 |
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| September 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether t |
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| September 11, 2023 |
Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this “Agreement”), dated as of September 11, 2023, is entered into by and between APTORUM GROUP LIMITED., a Cayman Islands exempt company (“Company”), and the undersigned herein (“Investors”). A. Company and Investors are executing and delivering this Agreement in reliance upon an exemption from securities registration |
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| August 10, 2023 |
Aptorum Group Receives Nasdaq Approval to Transfer Listing to Nasdaq Capital Markets Exhibit 99.1 Aptorum Group Receives Nasdaq Approval to Transfer Listing to Nasdaq Capital Markets Aptorum Group Limited (Nasdaq: APM) (“Aptorum Group” or “Aptorum”), a clinical-stage biopharmaceutical company, announced that it has received an approval letter from the Nasdaq Stock Market LLC (“Nasdaq”) Listing Qualifications Department notifying the Company it is approved to transfer the listing o |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| July 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| June 30, 2023 |
Exhibit 10.2 EXHIBIT A CONVERTIBLE PROMISSORY NOTE Issuance Date: June 28 2023 U.S. $[ ] FOR VALUE RECEIVED, Aptorum Group Limited, a Cayman Islands exempt company (“Borrower”), promises to pay to [ ] or its successors or assigns (“Lender”), $[ ] and any interest, fees, charges, and late fees accrued hereunder on the date that is twelve (12) months after the Issuance Date (the “Maturity Date”) in |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the re |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the re |
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| June 30, 2023 |
Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this “Agreement”), dated as of June 28, 2023, is entered into by and between APTORUM GROUP LIMITED., a Cayman Islands exempt company (“Company”), and the undersigned herein (“Investors”). A. Company and Investors are executing and delivering this Agreement in reliance upon an exemption from securities registration affor |
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| June 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the re |
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| June 9, 2023 |
Aptorum Group Limited Announces Voluntary Delisting from Euronext Paris Exhibit 99.1 Aptorum Group Limited Announces Voluntary Delisting from Euronext Paris Aptorum Group Limited (the “Company”) (NASDAQ:APM, Euronext Paris:APM) announced today that following a comprehensive review of the trading volume, costs and administrative requirements related to its listing on Euronext Paris, it has decided to request the voluntary delisting of its shares (the “Aptorum Shares”) |
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| May 24, 2023 |
APM / Aptorum Group Ltd - Class A / Lui Darren - AMENDMENT NO. 3 TO SCHEDULE 13D Activist Investment SC 13D/A 1 ea179061-sc13da3cgyaptorum.htm AMENDMENT NO. 3 TO SCHEDULE 13D Securities and Exchange Commission, Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 Amendment No. 3* APTORUM GROUP LIMITED (Name of Issuer) Class A Ordinary Shares, $1.00 par value per share (Title of Class of Securities) G6096M106 (CUSIP Number) 17th Floor, Guangdong Investment Tower 148 Conn |
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| May 17, 2023 |
As filed with the Securities and Exchange Commission on May 17, 2023 As filed with the Securities and Exchange Commission on May 17, 2023 Registration No. |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the reg |
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| May 8, 2023 |
APTORUM GROUP LIMITED Up to $1,552,575 Class A Ordinary Shares Filed pursuant to Rule 424(b)(5) Registration No. 333-268873 Prospectus Supplement (To Prospectus dated December 19, 2022) APTORUM GROUP LIMITED Up to $1,552,575 Class A Ordinary Shares We have entered into an at the market offering agreement (the “Sales Agreement”), dated as of March 26, 2021, with H.C. Wainwright & Co., LLC (“Wainwright” or the “Sales Agent”), acting as our sales agent, relating |
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| May 5, 2023 |
Aptorum Group Receives Nasdaq Notification of Minimum Stockholders’ Equity Deficiency Exhibit 99.1 Aptorum Group Receives Nasdaq Notification of Minimum Stockholders’ Equity Deficiency Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Aptorum”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced that it has received a letter from the Nasdaq Stock Ma |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the reg |
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| May 3, 2023 |
APTORUM GROUP LIMITED Up to $1,599,568 Class A Ordinary Shares Filed pursuant to Rule 424(b)(5) Registration No. 333-268873 Prospectus Supplement (To Prospectus dated December 19, 2022) APTORUM GROUP LIMITED Up to $1,599,568 Class A Ordinary Shares We have entered into an at the market offering agreement (the “Sales Agreement”), dated as of March 26, 2021, with H.C. Wainwright & Co., LLC (“Wainwright” or the “Sales Agent”), acting as our sales agent, relating |
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| May 1, 2023 |
Aptorum Therapeutics Limited 17 Hanover Square United Kingdom W1S 1BN Exhibit 99.1 Aptorum Therapeutics Limited 17 Hanover Square United Kingdom W1S 1BN May 1, 2023 Universal Sequencing Technology Corporation 6155 Corte Del Cedro Carlsbad CA92011 United States Attn: Chief Executive Officer Dear Sir: This Letter of Intent and related Term Sheet (collectively “Letter of Intent”) outlines the general terms and conditions of a potential acquisition (the “Acquisition”) o |
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| May 1, 2023 |
Exhibit 99.2 Aptorum Therapeutics Limited Enters into Letter of Intent and Term Sheet with Universal Sequencing Technology Corporation to Merge with Aptorum Group’s subsidiary Paths Innovations Limited Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Company”), today announced that its wholly owned subsidiary Aptorum Therapeutics Limited (“ATL”) has entered into a non- |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the reg |
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| April 28, 2023 |
Description of Securities registered under Section 12 of the Exchange Act of 1934, as amended** EX-2.3 4 f20f2022ex2-3aptorumgroup.htm DESCRIPTION OF SECURITIES REGISTERED UNDER SECTION 12 OF THE EXCHANGE ACT OF 1934, AS AMENDED Exhibit 2.3 Description of Securities registered under Section 12 of the Exchange Act of 1934, as amended As of December 31, 2022, Aptorum had the following series of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended: Tit |
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| April 28, 2023 |
Appointment letter between the Company and Ian Huen (Non-Executive Director), dated May 27, 2022** Exhibit 4.51 May 27, 2022 Attn: Mr. Huen Chung Yuen Ian Dear Mr. Huen, Appointment Letter for Non-Executive Director We are pleased and welcome your acceptance to be appointed as a Non-Executive Director (“Appointment” or “NED”) of Aptorum Group Limited (the “Company”), a company incorporated with limited liabilities under the laws of the Cayman Islands and its principal business address at 17 Han |
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| April 28, 2023 |
Exhibit 13.1 Certifications Pursuant to 18 U.S.C. Section 1350 Pursuant to U.S.C. Section 1350 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), the undersigned officer of Aptorum Group Limited (the “Company”), does hereby certify, to such officer’s knowledge, that: The Annual Report on Form 20-F for the year ended December 31, |
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| April 28, 2023 |
Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Darren Lui, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| April 28, 2023 |
Third Amended and Restated Articles of Association, as amended** Exhibit 1.2 Aptorum Group Limited Third Amended and Restated Memorandum and Articles of Association (Amended and Restated by special resolutions dated 21 February 2023) Floor 4, Willow House, Cricket Square Grand Cayman KY1-9010 Cayman Islands campbellslegal.com 12574-27374 www.verify.gov.ky File#: 245310 Aptorum Group Limited Companies Act (as revised) Company Limited by Shares Third Amended and |
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| April 28, 2023 |
Registrant’s Specimen Certificate for Ordinary Shares** Exhibit 2.1 |
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| April 28, 2023 |
Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Darren Lui, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or |
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| April 28, 2023 |
Consent of Marcum Asia CPAs LLP** Exhibit 15.1 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in the Registration Statement of Aptorum Group Limited on Form F-3 (FILE NO. 333-268873) and From S-8 (FILE NO. 333-232591) of our report dated April 28, 2023, with respect to our audits of the consolidated financial statements of Aptorum Group Limited as of December 31, 2022 and 2021 |
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| April 28, 2023 |
Exhibit 99.1 Aptorum Group Limited Reports 2022 Fiscal Year End Financial Results and Provides Business Update New York & London & Paris, April 28, 2023 – Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “We”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced fin |
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| March 27, 2023 |
Aptorum Group Enters into Letter of Intent and Term Sheet To Acquire U Group EX-99.2 3 ea175787ex99-2aptorum.htm PRESS RELEASE Exhibit 99.2 Aptorum Group Enters into Letter of Intent and Term Sheet To Acquire U Group NEW YORK & LONDON & PARIS- Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Company”), today announced that it entered into a non-binding Letter of Intent and Term Sheet (“Term Sheet”) for the acquisition (“Transaction”) of 100% of |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| March 27, 2023 |
Aptorum Group Limited 17 Hanover Square United Kingdom W1S 1BN Exhibit 99.1 Aptorum Group Limited 17 Hanover Square United Kingdom W1S 1BN March 27, 2023 URF Holding Group Limited URF Center 566 Middle Huaihai Road, Huangpu District Shanghai China Attn: Chief Executive Officer Dear Sir: This Letter of Intent and related Term Sheet (collectively “Letter of Intent”) outlines the general terms and conditions of a potential acquisition (the “Acquisition”) of URF |
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| March 2, 2023 |
Exhibit 99.1 CB-245310 Certificate Of Merger I, MELANIE E. RIVERS, Assistant Registrar of Companies in and for the Cayman Islands DO HEREBY CERTIFY, pursuant to the Companies Act, that all the requisitions of the said Act in respect of a Merger were complied with and that Aptorum Group Cayman Limited Merged into Aptorum Group Limited effective the 21st day of February Two Thousand Twenty-Three Giv |
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| March 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| February 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| February 22, 2023 |
Third Amended and Restated Articles of Association Exhibit 1.1 Aptorum Group Limited Third Amended and Restated Memorandum and Articles of Association (Amended and Restated by special resolutions dated 21 February 2023) Floor 4, Willow House, Cricket Square Grand Cayman KY1-9010 Cayman Islands campbellslegal.com 12574-27374 Aptorum Group Limited Companies Act (as revised) Company Limited by Shares Third Amended and Restated Memorandum of Associati |
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| February 10, 2023 |
Exhibit 99.1 Aptorum Group Regains Compliance with Nasdaq Minimum Bid Price and Receives Nasdaq Notification of Minimum Market Value of Publicly Held Shares Deficiency Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Aptorum”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, t |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| February 6, 2023 |
Exhibit 99.1 APTORUM GROUP LIMITED (a Cayman Islands exempted company with limited liability) (NASDAQ: APM) NOTICE OF SPECIAL EXTRAORDINARY MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT a special meeting of shareholders (the “February 2023 Special Meeting”) of Aptorum Group Limited (the “Company”) will be held on February 21, 2023, at 10:00 am, London local time, at 4T.07, 17 Hanover Square, |
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| February 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| February 6, 2023 |
Exhibit 99.2 |
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| February 6, 2023 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 • F: (44) 20 3928 8277 Exhibit 99.3 Aptorum Group Limited to Hold Special Extraordinary Meeting of Shareholders on February 21, 2023 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Aptorum”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced that it will hold a special extraordinary m |
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| January 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| January 20, 2023 |
Aptorum Group Announces 1-for-10 Reverse Stock Split Exhibit 99.1 Aptorum Group Announces 1-for-10 Reverse Stock Split Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (the “Company”) a clinical stage biopharmaceutical company dedicated to tackling unmet medical needs in oncology, autoimmune and infectious diseases, today announced a 1-for-10 reverse stock split of the Company’s Class A Ordinary Shares, effective at 12:01 a.m. Eastern Time o |
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| January 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2023 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| January 17, 2023 |
Appointment letter between the Company and Ian Huen (Non-Executive Director), dated May 27, 2022** Exhibit 4.51 May 27, 2022 Attn: Mr. Huen Chung Yuen Ian Dear Mr. Huen, Appointment Letter for Non-Executive Director We are pleased and welcome your acceptance to be appointed as a Non-Executive Director (“Appointment” or “NED”) of Aptorum Group Limited (the “Company”), a company incorporated with limited liabilities under the laws of the Cayman Islands and its principal business address at 17 Han |
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| January 17, 2023 |
Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Darren Lui, certify that: 1. I have reviewed this annual report on Form 20-F/A of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact |
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| January 17, 2023 |
Consent of Marcum Asia CPAs LLP** Exhibit 15.1 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in this Registration Statement of Aptorum Group Limited (the “Company”) on Form F-3 (FILE NO. 333-235819) and Form S-8 (FILE NO. 333- 232591) of our report dated April 29, 2022 with respect to our audits of the consolidated financial statements of the Company as of December 31, 2021 an |
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| January 17, 2023 |
Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom +44 20 80929299 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom +44 20 80929299 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| January 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 to FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURI |
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| January 17, 2023 |
Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Darren Lui, certify that: 1. I have reviewed this annual report on Form 20-F/A of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact |
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| January 17, 2023 |
Exhibit 13.1 Certifications Pursuant to 18 U.S.C. Section 1350 Pursuant to U.S.C. Section 1350 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), the undersigned officer of Aptorum Group Limited (the “Company”), does hereby certify, to such officer’s knowledge, that: The Annual Report on Form 20-F/A for the year ended December 3 |
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| January 9, 2023 |
Aptorum Group Ltd 17 Hanover Square London W1S 1BN, United Kingdom CORRESP 1 filename1.htm Aptorum Group Ltd 17 Hanover Square London W1S 1BN, United Kingdom January 9, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attn: Tracie Mariner Kevin Vaughn Re: Aptorum Group Ltd Form 20-F for Fiscal Year Ended December 31, 2021 Response Dated December 28, 2022 File No. |
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| December 28, 2022 |
Aptorum Group Ltd 17 Hanover Square London W1S 1BN, United Kingdom Aptorum Group Ltd 17 Hanover Square London W1S 1BN, United Kingdom December 28, 2022 VIA EDGAR U. |
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| December 22, 2022 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 ● F: (44) 20 3928 8277 Exhibit 99.1 Aptorum Group Limited Announces Results of 2022 Annual General Meeting of Shareholders NEW YORK & LONDON & PARIS-(BUSINESS WIRE)-Dec. 22, 2022 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, announced the |
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| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| December 19, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) Aptorum Group Limited (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities CALCULATION OF REGISTRATION FEE Security Type Security Class Title(1) Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Class A Ordinary Shares, par value $1. |
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| December 19, 2022 |
As filed with the Securities and Exchange Commission on December 19, 2022 Registration No. |
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| December 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| December 16, 2022 |
Aptorum Group Announces Completion of $3 Million Convertible Note due 2023 Exhibit 99.1 Aptorum Group Announces Completion of $3 Million Convertible Note due 2023 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced the completion of a private offering of USD$3 million aggregate p |
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| December 9, 2022 |
Form of Securities Purchase Agreement (18) Exhibit 10.1 Securities Purchase Agreement This Securities Purchase Agreement (this ?Agreement?), dated as of [ ], 2022, is entered into by and between APTORUM GROUP LIMITED., a Cayman Islands exempt company (?Company?), and the undersigned herein (?Investors?). A. Company and Investors are executing and delivering this Agreement in reliance upon an exemption from securities registration afforded |
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| December 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| December 9, 2022 |
Aptorum Group Announces Offering of $3 Million Convertible Note due 2023 Exhibit 99.1 Aptorum Group Announces Offering of $3 Million Convertible Note due 2023 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced a private offering of USD$3 million aggregate principal amount of c |
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| December 2, 2022 |
Aptorum Group Ltd 17 Hanover Square London W1S 1BN, United Kingdom Aptorum Group Ltd 17 Hanover Square London W1S 1BN, United Kingdom December 2, 2022 VIA EDGAR U. |
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| November 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| November 18, 2022 |
Aptorum Group Limited Received Nasdaq Notification Letter Regarding Bid Price Deficiency Exhibit 99.1 Aptorum Group Limited Received Nasdaq Notification Letter Regarding Bid Price Deficiency NEW YORK & LONDON & PARIS-(BUSINESS WIRE)-November 18, 2022 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today a |
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| November 8, 2022 |
Aptorum Group Limited to Hold Annual General Meeting of Shareholders on December 21, 2022 Exhibit 99.3 Aptorum Group Limited to Hold Annual General Meeting of Shareholders on December 21, 2022 NEW YORK & LONDON & PARIS-(BUSINESS WIRE)-November 8, 2022 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Aptorum”), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today a |
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| November 8, 2022 |
Exhibit 99.1 APTORUM GROUP LIMITED (a Cayman Islands exempted company with limited liability) (NASDAQ: APM) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting of shareholders (the “2022 Annual Meeting”) of Aptorum Group Limited (the “Company”) will be held on December 21, 2022, at 12:00 noon, London local time, at 4T.07, 17 Hanover Square, Mayfa |
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| November 8, 2022 |
Exhibit 99.2 |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| September 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether th |
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| September 30, 2022 |
Financial Statements Table of Contents Exhibit 99.1 APTORUM GROUP LIMITED Financial Statements Table of Contents Condensed Consolidated Balance Sheets as of June 30, 2022 (Unaudited) and December 31, 2021 F-2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the six months ended June 30, 2022 and 2021 (Unaudited) F-3 Condensed Consolidated Statements of Changes in Equity for the six months ended June 30, 2022 a |
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| September 30, 2022 |
Exhibit 99.3 Aptorum Group Limited Reports Financial Results and Business Update for the Six Months Ended June 30, 2022 NEW YORK-(BUSINESS WIRE)?September 30, 2022, Aptorum Group Limited (NASDAQ: APM, Euronext Paris: APM) (?Aptorum Group? or the ?Company?), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune and infectious diseases, today pro |
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| September 30, 2022 |
Exhibit 99.2 OPERATING AND FINANCIAL REVIEW AND PROSPECTS IN CONNECTION WITH THE UNAUDITED INTERIM CONSOLIDATED FINANCIAL STATEMENTS FOR THE SIX MONTHS ENDED JUNE 30, 2022 AND 2021 You should read the following discussion and analysis of our financial condition and results of operations in conjunction with our unaudited consolidated financial statements and the related notes included elsewhere in |
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| September 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2022 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether th |
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| September 15, 2022 |
Aptorum Group Launches NativusWell Exhibit 99.2 Aptorum Group Launches NativusWell?, a Novel Nutraceutical for Menopause, in Hong Kong New York & London & Paris - (BUSINESS WIRE) ? September 15, 2022 - Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group?), a clinical-stage biopharmaceutical company focused on the development of novel therapeutics to tackling unmet medical needs, announces the commercial launch |
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| September 15, 2022 |
EX-99.1 2 ea165569ex99-1aptorum.htm PRESS RELEASE Exhibit 99.1 Aptorum Group Updates on the Clinical Validation of RPIDD Infectious Disease Liquid Biopsy Molecular Diagnostics New York & London & Paris, September 15, 2022 – Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) a clinical stage biopharmaceutical company dedicated to tackling unmet medical needs in oncology, autoimmune diseases a |
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| July 11, 2022 |
Exhibit 10.0 30 June 2022 MG Consultancy Limited Rm 1305, 13/F., Leader Commercial Building, 54-56 Hillwood Road, Tsim Sha Tsui, Kowloon Hong Kong Operations Services & Secondment Agreement We are pleased and welcome the acceptance of MG Consultancy Limited (?MG?), with its business address at Rm 1305, 13/F., Leader Commercial Building, 54-56 Hillwood Road, Tsim Sha Tsui, Kowloon, Hong Kong to ent |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the re |
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| June 9, 2022 |
Exhibit 99.1 For illustrative purposes only. There is no guarantee of any project being completed or having a specific outcome. ? Copyright 2022 Aptorum Group Limited Facilitating Life Science Innovations to Serve Unmet Medical Needs SMART - ACT ? - ORPHAN DRUG DEPURPOSING PLATFORM ALS - 4 Non - confidential Overview For illustrative purposes only. There is no guarantee of any project being comple |
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| June 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the re |
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| June 9, 2022 |
Exhibit 99.2 For illustrative purposes only. There is no guarantee of any project being completed or having a specific outcome. ? Copyright 2022 Aptorum Group Limited Facilitating Life Science Innovations to Serve Unmet Medical Needs SMART - ACT ? - ORPHAN DRUG DEPURPOSING PLATFORM SACT - 1 Nonconfidential Overview For illustrative purposes only. There is no guarantee of any project being complete |
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| June 1, 2022 |
As filed with the Securities and Exchange Commission on June 1, 2022 As filed with the Securities and Exchange Commission on June 1, 2022 Registration No. |
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| June 1, 2022 |
Appointment Letter between the Company and Ian Huen (Non-Executive Director), dated May 27, 2022## Exhibit 10.1 May 27, 2022 Attn : Mr. Huen Chung Yuen Ian Dear Mr. Huen, Appointment Letter for Non-Executive Director We are pleased and welcome your acceptance to be appointed as a Non-Executive Director (?Appointment? or ?NED?) of Aptorum Group Limited (the ?Company?), a company incorporated with limited liabilities under the laws of the Cayman Islands and its principal business address at 17 Ha |
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| June 1, 2022 |
Exhibit 10.4 May 27, 2022 Mr. Lui Wang Yip Darren Present Dear Darren, Re: New Appointment as Chief Executive Officer We refer to the employment contract entered into between the Company and you dated September 25, 2017 and hereby inform you in writing, effective June 1, 2022, you will be appointed as Chief Executive Officer of Aptorum Group Limited (?the Group?) whereas all other current employme |
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| June 1, 2022 |
Exhibit 107 CALCULATION OF FILING FEE TABLES FORM S-1 APTORUM GROUP LIMITED Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee(5) Equity Warrants to purchase Class A Ordinary Shares, par value $1. |
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| May 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the reg |
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| April 29, 2022 |
Consent of Marcum Bernstein & Pinchuk LLP** Exhibit 15.1 New York Office 7 Penn Plaza, Suite 830 New York, NY 10001 T 212.279.7900 Independent Registered Public Accounting Firm?s Consent We consent to the incorporation by reference in the Registration Statement of Aptorum Group Limited on Form F-3 (FILE NO. 333-235819) and From S-8 (FILE NO. 333-232591) of our report dated April 29, 2022, with respect to our audits of the consolidated finan |
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| April 29, 2022 |
Aptorum Group Limited Reports 2021 Fiscal Year End Financial Results and Provides Business Update Exhibit 99.1 Aptorum Group Limited Reports 2021 Fiscal Year End Financial Results and Provides Business Update New York & London & Paris, April 29, 2022 ? Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?We?), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology, autoimmune diseases and infectious diseases, today announced fin |
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| April 29, 2022 |
Exhibit 4.48 Concerted Action Deed This Deed is entered into by and between the following Parties in Hong Kong on December 30, 2021: Party A: Peace Range Limited, a company incorporated under the laws of the British Virgin Islands with British Virgin Islands business registration no. 1839278 and whose registered address is located at Sea Meadow House, Blackburne Highway, P.O. Boc 116, Road Town, T |
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| April 29, 2022 |
Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Sabrina Khan, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2022 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| April 29, 2022 |
Exhibit 13.1 Certifications Pursuant to 18 U.S.C. Section 1350 Pursuant to U.S.C. Section 1350 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), each of the undersigned officers of Aptorum Group Limited (the “Company”), does hereby certify, to such officer’s knowledge, that: The Annual Report on Form 20-F for the year ended Dec |
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| April 29, 2022 |
Description of Securities registered under Section 12 of the Exchange Act of 1934, as amended** Exhibit 2.3 Description of Securities registered under Section 12 of the Exchange Act of 1934, as amended As of December 31, 2021, Aptorum had the following series of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended: Title of Each Class Trading Symbol Name of Each Exchange on Which Registered Class A Ordinary shares, par value $1.00 APM NASDAQ Global |
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| April 29, 2022 |
Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ian Huen, certify that: 1. I have reviewed this annual report on Form 20-F of Aptorum Group Limited (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a ma |
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| April 29, 2022 |
Second Amended and Restated Articles of Association, as amended** Exhibit 1.1 Extract of Written Resolutions We, Campbells Secretaries Limited, Assistant Secretary of Aptorum Group Limited (the ?Company?) hereby certify that the following is a true extract from the Minutes of the 2021 Annual General Meeting of the Company duly convened and held on 2 December 2021: ?(3) APPROVAL OF THE AMENDMENTS OF ARTICLE 49.1 AND ARTICLES 49.2 OF THE COMPANY?S SECOND AMENDED A |
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| April 29, 2022 |
Exhibit 4.47 Concerted Action Deed This Deed is entered into by and between the following Parties in Hong Kong on December 30, 2021: Party A: Peace Range Limited, a company incorporated under the laws of the British Virgin Islands with British Virgin Islands business registration no. 1839278 and whose registered address is located at Sea Meadow House, Blackburne Highway, P.O. Boc 116, Road Town, T |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| February 7, 2022 |
APM / Aptorum Group Ltd / Hudson Bay Capital Management LP - APM 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Aptorum Group Limited (Name of Issuer) Class A Ordinary shares, par value $1.00 per share (Title of Class of Securities) G6096M106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| January 10, 2022 |
Exhibit 99.4 Aptorum Group Announces Updates on the Clinical Validation of its RPIDD Infectious Disease Liquid Biopsy Technology NEW YORK & LONDON & PARIS - Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company focused on novel technologies including treatments and diagnosis of infectious diseases, announced that its sub |
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| January 10, 2022 |
Exhibit 99.1 Facilitating Life Science Innovations to Serve Unmet Medical Needs NASDAQ GLOBAL MARKET: APM CORPORATE PRESENTATION This document includes statements concerning Aptorum Group Limited and its future expectations, plans and prospects that constitute ?forward - looking statements? within the meaning of the Private Securities Litigation Reform Act of 1995 . For this purpose, any statement |
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| January 10, 2022 |
Exhibit 99.2 Aptorum Group Announces the Launch of its Oncology and Autoimmune Discovery and Development Platform Targeting Unmet Mutations and Novel Biomarkers NEW YORK & LONDON & PARIS - Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical-stage biopharmaceutical company, announces the launch of its oncology and autoimmune discovery and development |
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| January 10, 2022 |
Exhibit 99.3 Aptorum Group Announces Completion of Phase I Clinical trials for ALS-4 and SACT-1, Small Molecule Drugs targeted for infections caused by Staphylococcus Aureus and Neuroblastoma NEW YORK & LONDON & PARIS - Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical-stage biopharmaceutical company, announces completion of the Phase I clinical tr |
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| January 10, 2022 |
6-K 1 ea153697-6kaptorumgroup.htm REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2022 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address |
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| December 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| December 3, 2021 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 ● F: (44) 20 3928 8277 Exhibit 99.1 Aptorum Group Limited Announces Results of 2021 Annual General Meeting of Shareholders NEW YORK & LONDON & PARIS-(BUSINESS WIRE)-Dec. 3, 2021 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company focused on novel technologies including the targeting of oncological diseases, announced the results of its 2021 |
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| November 17, 2021 |
APTORUM GROUP LIMITED 2017 AMENDED SHARE OPTION PLAN Exhibit 99.1 APTORUM GROUP LIMITED 2017 AMENDED SHARE OPTION PLAN 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel, to provide additional incentives to Employees, Directors and Consultants and to promote the success of the Company?s business. 2. Definitions. The following definitions shall apply as used herein and in the individual Share Opt |
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| November 17, 2021 |
EX-99.2 3 ea150652ex99-2aptorum.htm LOAN AGREEMENT BETWEEN APTORUM THERAPEUTICS LIMITED AND TALEM MEDICAL GROUP LIMITED Exhibit 99.2 Private & Confidential Certain identified information, marked by [***], has been excluded from this exhibit because it is both not material and is the type that the Company treats as private or confidential. Dated the 17th day of November 2021 APTORUM THERAPEUTICS LI |
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| November 17, 2021 |
Exhibit 99.3 Specific Security Deed (Shares) APTORUM THERAPEUTICS LIMITED Secured Party and TALEM MEDICAL GROUP LIMITED Grantor Specific Security Deed Specific Security Deed (this Deed) Date 17- November 2021 Parties: APTORUM THERAPEUTICS LIMITED (Secured Party) Floor 4, Willow House, Cricket Square, Grand Cayman KYI-9010, Cayman Islands TALEM MEDICAL GROUP LIMITED (Grantor) Floor 4, Willow House, |
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| November 17, 2021 |
6-K 1 ea150652-6kaptorumgroup.htm REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2021 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square, London, W1S 1BN United Kingdom (Addre |
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| October 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2021 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square, London, W1S 1BN United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| October 19, 2021 |
EX-99.1 2 ea148881ex99-1aptorum.htm 2021 NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS AND PROXY STATEMENT Exhibit 99.1 APTORUM GROUP LIMITED (a Cayman Islands exempted company with limited liability) (NASDAQ: APM) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting of shareholders (the “2021 Annual Meeting”) of Aptorum Group Limited (the “Com |
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| October 19, 2021 |
Exhibit 99.2 THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS OF APTORUM GROUP LIMITED FOR THE ANNUAL GENERAL MEETING OF SHAREHOLDERS TO BE HELD ON DECEMBER 2, 2021 The undersigned shareholder of Aptorum Group Limited, a Cayman Islands exempted company with limited liability (the ?Company?), hereby acknowledges receipt of the Notice of Annual General Meeting of shareholders (the ?2021 A |
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| October 19, 2021 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 • F: (44) 20 3928 8277 Exhibit 99.3 Aptorum Group Limited to Hold Annual General Meeting of Shareholders on December 2, 2021 NEW YORK & LONDON & PARIS-(BUSINESS WIRE)-Oct. 19, 2021 Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (?Aptorum Group? or ?Aptorum?), a clinical stage biopharmaceutical company focused on novel technologies including the targeting of oncological diseases, announced that it will hold its |
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| September 15, 2021 |
APTORUM GROUP LIMITED Financial Statements Table of Contents Exhibit 99.1 APTORUM GROUP LIMITED Financial Statements Table of Contents Condensed Consolidated Balance Sheets as of June 30, 2021 (Unaudited) and December 31, 2020 F-2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the six months ended June 30, 2021 and 2020 (Unaudited) F-3 Condensed Consolidated Statements of Changes in Equity for the six months ended June 30, 2021 a |
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| September 15, 2021 |
Exhibit 99.2 OPERATING AND FINANCIAL REVIEW AND PROSPECTS IN CONNECTION WITH THE UNAUDITED INTERIM CONSOLIDATED FINANCIAL STATEMENTS FOR THE SIX MONTHS ENDED JUNE 30, 2021 AND 2020 You should read the following discussion and analysis of our financial condition and results of operations in conjunction with our unaudited consolidated financial statements and the related notes included elsewhere in |
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| September 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2021 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether th |
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| September 15, 2021 |
EX-99.3 4 ea146986ex99-3aptorum.htm PRESS RELEASE Exhibit 99.3 Aptorum Group Limited Reports Financial Results and Business Update for the Six Months Ended June 30, 2021 NEW YORK & LONDON & PARIS-(BUSINESS WIRE)—September 15, 2021, Aptorum Group Limited (NASDAQ: APM, Euronext Paris: APM) (“Aptorum Group” or the “Company”), a clinical stage biopharmaceutical company dedicated to meeting unmet medic |
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| August 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| June 1, 2021 |
APM / Aptorum Group Ltd / Huen Ian Chung Yuen - AMENDMENT NO. 3 TO SCHEDULE 13D Activist Investment Securities and Exchange Commission, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AMENDMENT NO. 3* APTORUM GROUP LIMITED (Name of Issuer) Class A Ordinary Shares, $1.00 par value per share (Title of Class of Securities) G6096M106 (CUSIP Number) 17 Hanover Square London W1S 1BN, the United Kingdom Telephone: +44 20 8092 9299 (Name, Address and Telephone Number of Per |
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| May 26, 2021 |
Private Placement Shares Purchase Agreement with Jurchen Investment Corporation(14) EX-10.1 2 ea141720ex10-1aptorum.htm PRIVATE PLACEMENT SHARES PURCHASE AGREEMENT WITH JURCHEN INVESTMENT CORPORATION Exhibit 10.1 PRIVATE PLACEMENT SHARES PURCHASE AGREEMENT THIS PRIVATE PLACEMENT SHARES PURCHASE AGREEMENT, dated as of May 26, 2021 (as it may from time to time be amended, this “Agreement”), is entered into by and between Aptorum Group Limited, a Cayman Islands exempt corporation (t |
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| May 26, 2021 |
Aptorum Group CEO Subscribed Shares In The Company Exhibit 99.1 Aptorum Group CEO Subscribed Shares In The Company NEW YORK & LONDON & PARIS - (BUSINESS WIRE) - Aptorum Group Limited (NASDAQ: APM, Euronext Paris: APM) (?Aptorum Group?, the ?Company?), a clinical-stage biopharmaceutical company focused on the development of novel therapeutics to address global unmet medical needs, today announced that Mr. Ian Huen, Founder, Chief Executive Officer |
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| May 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of May 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the reg |
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| May 25, 2021 |
Filed pursuant to Rule 424(b)(4) Registration No. 333-248743 Prospectus Supplement (To Prospectus dated May 14, 2021) APTORUM GROUP LIMITED Up to 2,769,231Class A Ordinary Shares and Warrants to Purchase up to 2,769,231 Class A Ordinary Shares The prospectus relates to a best-efforts offering up to 2,769,231 Class A Ordinary Shares and warrants to purchase up to 2,769,231 Class A Ordinary Shares, |
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| May 14, 2021 |
As filed with the Securities and Exchange Commission on May 14, 2021 As filed with the Securities and Exchange Commission on May 14, 2021 Registration No. |
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| April 19, 2021 |
Consent of Marcum Bernstein & Pinchuk LLP** EX-15.1 9 f20f2020ex15-1aptorumgroup.htm CONSENT OF MARCUM BERNSTEIN & PINCHUK LLP Exhibit 15.1 New York Office 7 Penn Plaza, Suite 830 New York, NY 10001 T 212.279.7900 Independent Registered Public Accounting Firm’s Consent We consent to the incorporation by reference in this Registration Statement of Aptorum Group Limited on Form F-3 (FILE NO. 333-235819) of our report dated April 19, 2021, wit |
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| April 19, 2021 |
Share Subscription and Shareholders Agreement dated as of September 25, 2020(11,12) Exhibit 4.64 Private & Confidential Certain identified information, marked by [******], has been excluded from this exhibit because it is both not material and is the type that the registrant treats as private or confidential. DATED THE 25TH DAY OF SEPTEMBER 2020 AMONG ACCELERATE TECHNOLOGIES PTE LTD AND APTORUM INNOVATIONS HOLDING LIMITED AND THE PERSONS WHOSE NAMES ARE SET OUT IN SCHEDULE 1 AND |
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| April 19, 2021 |
Description of Securities registered under Section 12 of the Exchange Act of 1934, as amended** Exhibit 2.3 Description of Securities registered under Section 12 of the Exchange Act of 1934, as amended As of December 31, 2020, Aptorum had the following series of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended: Title of Each Class Trading Symbol Name of Each Exchange on Which Registered Class A Ordinary shares, par value $1.00 APM NASDAQ Global |
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| April 19, 2021 |
Aptorum Group Limited Reports 2020 Fiscal Year End Financial Results and Provides Business Update Exhibit 99.1 Aptorum Group Limited Reports 2020 Fiscal Year End Financial Results and Provides Business Update New York & London & Paris, April 19, 2021 ? Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM), a clinical stage biopharmaceutical company dedicated to meeting unmet medical needs in oncology and infectious diseases, today announced financial results for the fiscal year ended Decemb |
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| April 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ? REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT O |
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| April 19, 2021 |
Exhibit 13.1 Certification Pursuant to 18 U.S.C. Section 1350 Pursuant to U.S.C. Section 1350 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of Section 1350, Chapter 63 of Title 18, United States Code), each of the undersigned officers of Aptorum Group Limited (the ?Company?), does hereby certify, to such officer?s knowledge, that the Annual Report on Form 20-F for the year ended Decem |
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| April 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| April 19, 2021 |
Certification of Chief Executive Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.1 Certification Pursuant to Rule 13a-14(a) of the Exchange Act I, Ian Huen, certify that: 1. I have reviewed the annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statement |
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| April 19, 2021 |
Certification of Chief Financial Officer Pursuant to Rule 13a-14(a)/15d-14(a)** Exhibit 12.2 Certification Pursuant to Rule 13a-14(a) of the Exchange Act I, Sabrina Khan, certify that: 1. I have reviewed the annual report on Form 20-F of Aptorum Group Limited; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such state |
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| April 19, 2021 |
Exclusive License Agreement with Accelerate Technologies Pte Ltd.’s dated September 25, 2020(11, 12) Exhibit 4.62 Private & Confidential Certain identified information, marked by [******], has been excluded from this exhibit because it is both not material and is the type that the registrant treats as private or confidential. EXCLUSIVE LICENCE AGREEMENT This Exclusive License Agreement (this ?Agreement?) is made the 25th day of September 2020 between ACCELERATE TECHNOLOGIES PTE LTD (Co. Reg. No. |
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| March 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the r |
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| March 26, 2021 |
APTORUM GROUP LIMITED Up to $15,000,000 Class A Ordinary Shares Filed pursuant to Rule 424(b)(5) Registration No. 333-235819 Prospectus Supplement (To Prospectus dated January 6, 2020) APTORUM GROUP LIMITED Up to $15,000,000 Class A Ordinary Shares We have entered into an at the market offering agreement (the “Sales Agreement”), dated as of March 26, 2021, with H.C. Wainwright & Co., LLC (“Wainwright” or the “Sales Agent”), acting as our sales agent, relating |
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| March 26, 2021 |
Sales Agreement, dated March 26, 2021 between the Company and H.C. Wainwright(10) Exhibit 10.1 AT THE MARKET OFFERING AGREEMENT March , 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Aptorum Group Limited, a corporation organized under the laws of the Cayman Islands (the ?Company?), confirms its agreement (this ?Agreement?) with H.C. Wainwright & Co., LLC (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used in th |
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| February 8, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Aptorum Group Limited (Name of Issuer) Class A Ordinary Shares, par value $1.00 per share (Title of Class of Securities) G6096M106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| January 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| January 25, 2021 |
Exhibit 10.1 **CERTAIN INFORMATION, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE IT BOTH (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED.** EVALUATION Agreement This Evaluation Agreement (“Agreement”) is between Illumina, Inc., having offices at [***] (“Illumina") and Aptorum Innovations Holding Limited, having offices at 4T.07, 17 Hanover Square, Mayfair, London, U |
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| January 22, 2021 |
Exhibit 99.1 |
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| January 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2021 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| January 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2021 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether the |
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| January 20, 2021 |
Exhibit 99.1 Aptorum Group Receives Clearance from Health Canada to Initiate a Phase 1 Clinical Trial for ALS-4, a Small Molecule Drug for Infections Caused by Staphylococcus aureus including Methicillin-resistant Staphylococcus aureus (MRSA) January 20, 2021 NEW YORK & LONDON & PARIS - Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) ) (“Aptorum Group” or “Aptorum”), a biopharmaceutical c |
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| December 10, 2020 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 ● F: (44) 20 3928 8277 Exhibit 99.1 Aptorum Group Limited Announces Results of 2020 Annual General Meeting of Shareholders NEW YORK & LONDON & PARIS-(BUSINESS WIRE)-Dec. 10, 2020-Aptorum Group Limited (Nasdaq: APM; Euronext Paris: APM) (the ?Company?, ?Aptorum Group? or ?Aptorum?), a biopharmaceutical company focused on novel technologies including the targeting of infectious diseases, today announced the results of its |
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| December 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2020 Commission File Number: 001-38764 APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive offices) Indicate by check mark whether th |
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| October 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2020 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| October 20, 2020 |
Exhibit 99.1 Facilitating Life Science Innovations to Serve Unmet Medical Needs NASDAQ GLOBAL MARKET: APM NEXT - GENERATION RAPID PATHOGEN MOLECULAR LIQUID BIOPSY DIAGNOSTICS 4 Executive Summary 5 One Page Summary of RPIDD 6 Technology Origins 7 Challenges Faced from Infectious Diseases 10 Economic Evaluation of RPIDD 12 RPIDD Market Overview 16 RPIDD Workflow Overview and Unique Features 21 RPIDD |
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| October 16, 2020 |
Exhibit 99.1 APTORUM GROUP LIMITED (a Cayman Islands exempted company with limited liability) (NASDAQ: APM) NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the annual general meeting of shareholders (the “2020 Annual Meeting”) of Aptorum Group Limited (the “Company”) will be held on December 9, 2020, at 8:00 p.m., Hong Kong local time, at 17/F., Guangdong Investment To |
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| October 16, 2020 |
Exhibit 99.2 |
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| October 16, 2020 |
17 Hanover Square, London, W1S 1BN, United Kingdom T: (44) 20 8092 9299 • F: (44) 20 3928 8277 Exhibit 99.3 Aptorum Group Limited to Hold Annual General Meeting of Shareholders on December 9, 2020 NEW YORK & LONDON & PARIS-Oct. 16, 2020-Aptorum Group Limited (Nasdaq: APM; Euronext Paris: APM) (the “Company”, “Aptorum Group” or “Aptorum”), a biopharmaceutical company focused on novel technologies including the targeting of infectious diseases, today announced it will hold its 2020 annual gen |
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| October 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2020 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square, London, W1S 1BN United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| October 2, 2020 |
Aptorum Group Announces Closing of $9.0 Million Public Offering Exhibit 99.2 Aptorum Group Announces Closing of $9.0 Million Public Offering NEW YORK- Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Aptorum”), a biopharmaceutical company focused on novel technologies including the targeting of infectious diseases, today announced the closing of a public offering of 2,769,231 Aptorum’s Class A ordinary shares (or ordinary share equ |
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| October 2, 2020 |
Exhibit 4.2 PRE-FUNDED CLASS A ORDINARY SHARE PURCHASE WARRANT APTORUM GROUP LIMITED Warrant Shares: Initial Exercise Date: , 2020 THIS PRE-FUNDED CLASS A ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or |
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| October 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2020 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether the |
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| October 2, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September , 2020, between Aptorum Group Limited, a company organized under the laws of the Cayman Islands (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, s |
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| October 2, 2020 |
Exhibit 4.1 CLASS A ORDINARY SHARE PURCHASE WARRANT APTORUM GROUP LIMITED Warrant Shares: Initial Exercise Date: October 2, 2020 THIS CLASS A ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the dat |
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| October 2, 2020 |
Aptorum Group Announces Pricing of $9.0 Million Public Offering Exhibit 99.1 Aptorum Group Announces Pricing of $9.0 Million Public Offering NEW YORK, September 29, 2020 - Aptorum Group Limited (Nasdaq: APM, Euronext Paris: APM) (“Aptorum Group” or “Aptorum”), a biopharmaceutical company focused on novel technologies including the targeting of infectious diseases, today announced the pricing of a public offering of 2,769,231 Aptorum’s Class A ordinary shares ( |
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| October 2, 2020 |
Form of Placement Agent Warrant(9) Exhibit 4.3 PLACEMENT AGENT ORDINARY SHARE PURCHASE WARRANT APTORUM GROUP LIMITED Warrant Shares: Initial Exercise Date: October 2, 2020 THIS PLACEMENT AGENT ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on |
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| October 1, 2020 |
Filed pursuant to Rule 424(b)(4) Registration No. 333-248743 Registration No. 333-249140 PROSPECTUS APTORUM GROUP LIMITED 2,769,231 Class A Ordinary Shares and Warrants to Purchase up to 2,769,231 Class A Ordinary Shares or 2,769,231 Pre-Funded Warrants to Purchase Class A Ordinary Shares and Warrants to Purchase up to 2,769,231 Class A Ordinary Shares and (5,538,462 Class A Ordinary Shares Issuab |
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| September 29, 2020 |
As filed with the Securities and Exchange Commission on September 29, 2020 Registration No. |
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| September 29, 2020 |
APTORUM GROUP LIMITED 17th Floor, Guangdong Investment Tower 148 Connaught Road Central Hong Kong September 29, 2020 VIA EDGAR U. |
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| September 29, 2020 |
APTORUM GROUP LIMITED 17th Floor, Guangdong Investment Tower 148 Connaught Road Central Hong Kong September 29, 2020 VIA EDGAR U. |
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| September 29, 2020 |
APTORUM GROUP LIMITED 17th Floor, Guangdong Investment Tower 148 Connaught Road Central Hong Kong September 29, 2020 VIA EDGAR U. |
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| September 28, 2020 |
As filed with the Securities and Exchange Commission on September 28, 2020 Registration No. |
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| September 25, 2020 |
Exhibit 4.5 CLASS A ORDINARY SHARE PURCHASE WARRANT APTORUM GROUP LIMITED Warrant Shares: Initial Exercise Date: , 2020 THIS CLASS A ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof |
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| September 25, 2020 |
APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom September 25, 2020 VIA EDGAR U. |
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| September 25, 2020 |
Exhibit 4.4 PRE-FUNDED CLASS A ORDINARY SHARE PURCHASE WARRANT APTORUM GROUP LIMITED Warrant Shares: Initial Exercise Date: , 2020 THIS PRE-FUNDED CLASS A ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or |
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| September 25, 2020 |
As filed with the Securities and Exchange Commission on September 25, 2020 Registration No. |
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| September 25, 2020 |
Form of Placement Agent’s Warrant(11) Exhibit 4.2 PLACEMENT AGENT ORDINARY SHARE PURCHASE WARRANT APTORUM GROUP LIMITED Warrant Shares: Initial Exercise Date: , 2020 THIS PLACEMENT AGENT ORDINARY SHARE PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after |
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| September 25, 2020 |
Form of Placement Agent Agreement(11) Exhibit 1.1 PLACEMENT AGENCY AGREEM ENT September , 2020 H.C. Wainwright & Co., LLC 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Aptorum Group Limited, a Cayman Islands company (the “Company”), hereby agrees to sell up to an aggregate of $15,000,000 of registered securities of the Company, including, but |
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| September 25, 2020 |
Form of Securities Purchase Agreement to be entered into among the Company and certain investors(11) Exhibit 10.44 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September , 2020, between Aptorum Group Limited, a company organized under the laws of the Cayman Islands (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, |
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| September 25, 2020 |
Form of Lock-Up Agreement to be entered into by the Company’s officers and directors Exhibit 10.45 Form of Lock-Up Agreement , 2020 H.C. Wainwright & Co., LLC 430 Park Avenue, 3rd Floor New York, NY 10022 Ladies and Gentlemen: The undersigned understands that H.C. Wainwright & Co., LLC, acting as placement agent (the “Placement Agent”) in an offering with Aptorum Group Limited, a Cayman Islands corporation, (the “Company”), proposes to enter into a placement agency agreement (the |
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| September 24, 2020 |
As filed with the Securities and Exchange Commission on September 23, 2020 Registration No. |
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| September 23, 2020 |
APTORUM GROUP LIMITED 17 Hanover Square London W1S 1BN, United Kingdom September 23, 2020 VIA EDGAR U. |
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| September 11, 2020 |
Exhibit 10.40 CONTRACT RESEARCH AGREEMENT This Contract Research Agreement (the “Agreement”) is made and entered into on April , 2020 (“Effective Date”) by and between: (1) aPTORUM THERAPEUTICS lIMITED, an exempted company incorporated in Cayman Islands, whose business address is 17th Floor, Guangdong Investment Tower, 148 Connaught Road Central, Hong Kong; and APTUS MANAGEMENT, a company incorpor |
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| September 11, 2020 |
Exhibit 21.1 |
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| September 11, 2020 |
As filed with the Securities and Exchange Commission on September 11, 2020 Registration No. |
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| September 2, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2020 Commission File Number: 001-38764 Aptorum Group Limited 17 Hanover Square London W1S 1BN, United Kingdom (Address of principal executive office) Indicate by check mark whether th |
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| September 2, 2020 |
APTORUM GROUP LIMITED Financial Statements Table of Contents Exhibit 99.1 APTORUM GROUP LIMITED Financial Statements Table of Contents Condensed Consolidated Balance Sheets as of June 30, 2020 (Unaudited) and December 31, 2019 F-2 Condensed Consolidated Statements of Operations and Comprehensive Loss for the six months ended June 30, 2020 and 2019 (Unaudited) F-3 Condensed Consolidated Statements of Changes in Equity for the six months ended June 30, 2020 a |
