Filing Details
- Accession Number:
- 0000905148-17-000605
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-21 15:08:55
- Reporting Period:
- 2017-06-19
- Filing Date:
- 2017-06-21
- Accepted Time:
- 2017-06-21 15:08:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1300699 | Athenex Inc. | ATNX | Pharmaceutical Preparations (2834) | 431985966 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1709158 | Antony Leung | C/O Athenex, Inc., 1001 Main Street Suite 600 Buffalo NY 14203 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2017-06-19 | 1,136,364 | $0.00 | 1,803,028 | No | 4 | C | Indirect | By Sunderland Global Limited |
| Common Stock | Acquisiton | 2017-06-19 | 300,000 | $0.00 | 300,000 | No | 4 | P | Indirect | By Permwell Management Limited |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Sunderland Global Limited |
| No | 4 | P | Indirect | By Permwell Management Limited |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Convertible Loan | Acquisiton | 2017-06-19 | 0 | $0.00 | 1,136,364 | $0.00 |
| Common Stock | Convertible Loan | Disposition | 2017-06-19 | 0 | $0.00 | 1,136,364 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2017-06-19 | 15,000 | $0.00 | 15,000 | $11.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | A | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 15,000 | 2027-06-19 | No | 4 | A | Direct |
Footnotes
- The Convertible Loan, issued pursuant to the Convertible Loan Agreement, dated September 29, 2016, by and between Athenex, Inc. and Sunderland Global Limited, was automatically convertible into shares of Athenex, Inc. common stock upon the closing of Athenex, Inc.'s initial public offering at a conversion price equal to the outstanding principal amount of such notes reduced by a 20.0% discount to the initial public offering price; which was $11.00, and has no expiration date.
- Sunderland Global Limited is an indirect wholly-owned subsidiary of Nan Fung Group. Antony Leung ("Mr. Leung") is the CEO of Nan Fung Group and has shared voting and dispositive power over the shares held by Sunderland Global Limited.
- Permwell Management Limited is an indirect wholly-owned subsidiary of Nan Fung Group. Mr. Leung is the CEO of Nan Fung Group and has shared voting and dispositive power of the shares held by Permwell Management Limited.
- The option vests in four equal annual installments beginning on June 19, 2018.
- Mr. Leung disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Leung is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- Due to the conditions to closing of the initial public offering of the Common Stock, this purchase was not deemed to occur until closing, or June 19, 2017.
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