# EDGAR Filing Document

**Accession Number:** 0001542073
**File Stem:** 0001104659-26-031455
**Filing Date:** 2026-3
**Character Count:** 7429
**Document Hash:** 7156b762f8b965c87175eab8e1ca8c70
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-26-031455.hdr.sgml**: 20260415

**ACCESSION NUMBER**: 0001104659-26-031455

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260318

**FILED AS OF DATE**: 20260318

**DATE AS OF CHANGE**: 20260318

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** He Wei-Wu
- **CENTRAL INDEX KEY:** 0001542073

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41666
- **FILM NUMBER:** 26771387

**MAIL ADDRESS:**
- **STREET 1:** ENTREMED, INC.
- **STREET 2:** 9640 MEDICAL CENTER DRIVE
- **CITY:** ROCKVILLE
- **STATE:** MD
- **ZIP:** 20850
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CASI Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001962738
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1701-1702, CHINA CENTRAL OFFICE TOWER 1
- **STREET 2:** NO. 81 JIANGUO ROAD, CHAOYANG DISTRICT
- **CITY:** BEIJING
- **STATE:** F4
- **ZIP:** 100025
- **BUSINESS PHONE:** 86 10 6561 8789

**MAIL ADDRESS:**
- **STREET 1:** 1701-1702, CHINA CENTRAL OFFICE TOWER 1
- **STREET 2:** NO. 81 JIANGUO ROAD, CHAOYANG DISTRICT
- **CITY:** BEIJING
- **STATE:** F4
- **ZIP:** 100025

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CASI Pharmaceuticals Holdings, Inc.
- **DATE OF NAME CHANGE:** 20230118

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>He Wei-Wu<br><sub>(Last) (First) (Middle)</sub><br>1701-1702, CHINA CENTRAL OFFICE TOWER 1,<br>NO. 81 JIANGUO ROAD CHAOYANG DISTRICT<br><sub>(Street)</sub><br>BEIJING,  100025<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>CASI Pharmaceuticals, Inc. [ CASIF ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2026-03-18 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Ordinary Share | 1910550 | D |  |
| Ordinary Share | 44107 | I | See Footnote<sup>(1)</sup> |
| Ordinary Share | 753234 | I | See Footnote<sup>(2)</sup> |
| Ordinary Share | 300000 | I | See Footnote<sup>(3)</sup> |
| Ordinary Share | 100000 | I | See Footnote<sup>(4)</sup> |
| Ordinary Share | 637644 | I | See Footnote<sup>(5)</sup> |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Convertible Note (right to convert) | 2026-03-28 | 2028-12-26 | Ordinary Share | <sup>(6)</sup> | <sup>(6)</sup> | I | See Footnote<sup>(7)</sup> |
| Convertible Note (right to convert) | 2026-04-10 | 2029-01-08 | Ordinary Share | <sup>(6)</sup> | <sup>(6)</sup> | I | See Footnote<sup>(7)</sup> |
| Convertible Note (right to convert) | 2026-05-21 | 2029-02-18 | Ordinary Share | <sup>(6)</sup> | <sup>(6)</sup> | I | See Footnote<sup>(7)</sup> |
| Option (right to buy) | 2025-05-12 | 2033-05-12 | Ordinary Share | 20000 | $1.93 | D |  |
| Option (right to buy) | 2026-05-12 | 2033-05-12 | Ordinary Share | 20000 | $1.93 | D |  |
| Option (right to buy) | 2023-04-14 | 2031-04-27 | Ordinary Share | 100000 | $1.93 | D |  |
| Option (right to buy) | 2025-04-27 | 2031-04-27 | Ordinary Share | 100000 | $1.93 | D |  |
| Option (right to buy) | <sup>(8)</sup> | 2031-04-27 | Ordinary Share | 300000 | $1.93 | D |  |

---

### Footnotes:

(1) Held by Emerging Technology Partners, LLC, a Delaware limited liability company, of which Dr. He is founder and managing partner.

(2) Held by ETP Global Fund. L.P., a Delaware limited partnership, of which Emerging Technology Partners, LLC is the general partner.

(3) Held by ETP BioHealth III Fund, L.P., a Delaware limited partnership, of which Emerging Technology Partners, LLC is the general partner.

(4) Held by HE Family GRAT, a grantor retained annuity trust organized under the law of Nevada for the benefit of Dr. Wei-Wu He's family members, and Dr. Wei-Wu He is the trustee of HE Family GRAT.

(5) Held by Huiying Memorial Foundation, a 501(c)(3) private family foundation under the law of Delaware and Dr. He is a member of the board of trustees and an officer of the Huiying Memorial Foundation. Dr. He does not participate in the investment decisions of the Foundation with respect to CASI's ordinary shares and disclaims beneficial ownership of CASI's ordinary shares held by Huiying Memorial Foundation.

(6) The conversion price is volume weighted average closing price of the issuer's Ordinary Shares during the five consecutive trading days immediately preceding the date of conversion notice by ETP Global Fund III L.P. In no event shall the conversion price be higher than US $2 per Ordinary Share or lower than US $1 per Ordinary Share. Pursuant to the trading price of the issuer's ordinary shares as of March 17, 2026, the amount of ordinary shares convertible under each Note is 5,000,000 (without considering accrued but unpaid interest).

(7) Held by ETP Global Fund III L.P., , a Delaware limited partnership, of which Emerging Technology Partners, LLC is the general partner.

(8) Performance based options granted and exercisable upon achievement.

**Signature:** /s/ Wei-Wu He  
**Date:** 2026-03-18

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**