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Filing Details

Accession Number:: 0000905148-17-000608
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-06-21 15:11:43
Reporting Period:: 2017-06-19

Filing Date:: 2017-06-21
Accepted Time:: 2017-06-21 15:11:43
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1300699	Athenex Inc.	ATNX	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1290865	Song-Yi Zhang	C/O Athenex, Inc., 1001 Main Street, Suite 600 Buffalo NY 14203	No	No	No	No
1709068	Ltd Medical Mandra	Newhaven Trustees (Bvi) Ltd., 3Rd Floor J&Amp;C Building, P.o. Box 933, Road Town Tortola D8 VG1110	No	No	No	No
1709077	Ltd Beansprouts	Newhaven Trustees (Bvi) Ltd., 3Rd Floor J&Amp;C Building, P.o. Box 933, Road Town Tortola D8 VG1110	No	No	No	No
1709117	Tammy How Bing Mui	C/O Athenex, Inc. 1001 Main Street Suite 600 Buffalo NY 14203	No	No	No	No

Reported Non-Derivative Transactions

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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	227,273	$0.00	6,657,881	No	4	C	Indirect	By Mandra Medical Limited
Common Stock	Acquisiton	2017-06-19	146,819	$11.00	6,804,700	No	4	P	Indirect	By Mandra Medical Limited
Common Stock	Acquisiton	2017-06-19	181,818	$11.00	181,818	No	4	P	Indirect	By iBase Ltd.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By Mandra Medical Limited
No	4	P	Indirect	By Mandra Medical Limited
No	4	P	Indirect	By iBase Ltd.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Convertible Loan	Acquisiton	2017-06-19	0	$0.00	227,273	$0.00
Common Stock	Convertible Loan	Disposition	2017-06-19	0	$0.00	227,273	$0.00
Common Stock	Stock Option (Right to Buy)	Acquisiton	2017-06-19	28,500	$0.00	28,500	$11.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		No	4	A	Indirect
0		No	4	C	Indirect
28,500	2027-06-19	No	4	A	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,000	Direct
Common Stock	678,880	Indirect	By Avalon Biomedical (Management) Limited
Common Stock	287,176	Indirect	By Mandra Health Limited

Footnotes

Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Song-Yi Zhang ("Mr. Zhang"), together with his spouse, indirectly owns all of the outstanding interests in Mandra Medical Limited, which owns 30% of the outstanding interests in Avalon Global, and Mr. Zhang serves on the board of directors of Avalon Global and has shared voting and dispositive power with respect to the shares held by Avalon Biomedical.
Each of Mandra Health Limited and Mandra Medical Limited are wholly-owned subsidiaries of Beansprouts Limited. Mr. Zhang is a member of the board of directors of each Mandra Health Limited and Mandra Medical Limited and, together with his spouse, owns all of the outstanding interests in Beansprouts Limited and shares voting and dispositive power over the shares held by it.
Mr. Zhang is the sole owner and director of iBase Ltd. and has sole voting and dispositive power over the shares held by iBase Ltd.
The option vests in four equal annual installments beginning on June 19, 2018.
The Convertible Loan, issued pursuant to the Convertible Loan Agreement, dated January 28, 2017, by and between Athenex, Inc. and Mandra Medical 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 outstanding principal amount of such notes reduced by a 20.0% discount to the initial public offering price; which was $11.00, and has not expiration date.
Mr. Zhang 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. Zhang 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, these purchases were not deemed to occur until closing, or June 19, 2017.