Company: APM
Filing Date: 2025-10-06
Form Type: S-4
Source: 0001213900-25-096656
Chunk: 408

Company: Aptorum Group Ltd
Filing Date: 2025-10-06
Form: S-4
Chunk 408
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 at NexGenix Pharmaceuticals. She held a variety of executive positions at Corning, Incorporated, from 1997 -2002. Dr. Philips served in the Clinton Administration both as a Fellow in the White House Office of Science and Technology Policy and as a Presidential Appointee in the position of Senior Policy Advisor to Sec. Ronald Brown in the Dept. of Commerce. Dr. Philips was on the Faculty of Cornell University in the Dept. of Chemistry from 1987 -1993. She was an NIH Post -DoctoralFellow at the University of Chicago, holds a PhD in Chemistry from the University of California, Berkeley and an MBA from Cornell University. Dr. Philips provides the board with significant expertise in growth of early stage companies, development and launch of devices, including for biomedical applications, as well as a strong history of service on board committees. Cybersecurity Governance Cybersecurity will be an important part of our risk management processes and an area of focus for our Board and management. The Audit Committee will be responsible for the oversight of risks from cybersecurity threats. Members of the Audit Committee will receive updates on a quarterly basis from senior management, regarding matters of cybersecurity. This includes existing and new cybersecurity risks, status on how management is addressing an d/ormitigating those risks, cybersecurity and data privacy incidents (if any) and status on key information security initiatives. Our Board members will also engage in ad hoc conversations with management on cybersecurity -relatednews events and discuss any updates to our cybersecurity risk management and strategy programs. 237

PRO FORMA
PRINCIPAL STOCKHOLDERS OF THE COMBINED COMPANY The following table provides information anticipated as of the Merger Closing, regarding beneficial ownership of 5% or more of Aptorum Delaware’s common stock by: (i) each person known to Aptorum Delaware who beneficially owns more than five percent of Aptorum Delaware’s common stock; (ii) each of the expected officers and directors of the Combined Company. The following table assumes [] shares of Aptorum Delaware Common Stock will be issued in the Merger. We have determined beneficial ownership in accordance with the rules of the SEC. These rules generally attribute beneficial ownership of securities to persons who possess sole or shared voting power or investment power with respect to those securities. In addition, the rules include shares of common stock issuable pursuant to the exercise of stock options that are either immediately exercisable or exercisable within 60 days after September30, 2025. These shares are deemed to be outstanding and beneficially owned by