Filing Details

Accession Number:
0001209191-18-021631
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-26 16:30:03
Reporting Period:
2018-03-26
Accepted Time:
2018-03-26 16:30:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1300699 Athenex Inc. ATNX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1181165 Nam Yiu Johnson Lau C/O Athenex, Inc.
1001 Main Street, Suite 600
Buffalo NY 14203
Ceo And Chairman Of The Board Yes Yes 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 2018-03-26 12,500 $14.76 2,780,422 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 678,880 Indirect By Avalon Biomedical (Management) Limited
Common Stock 161,647 Indirect By Spouse
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $4.25 2018-12-03 60,000 60,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2021-05-09 240,000 240,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2022-03-26 150,000 150,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2013-01-02 2023-01-02 1,200,000 1,200,000 Direct
Common Stock Stock Option (Right to Buy) $7.50 2025-05-22 1,400,000 1,400,000 Direct
Common Stock Stock Option (Right to Buy) $9.00 2025-07-17 54,904 54,904 Indirect
Common Stock Stock Option (Right to Buy) $11.00 2018-06-19 2027-06-19 1 1 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-12-03 60,000 60,000 Direct
2021-05-09 240,000 240,000 Direct
2022-03-26 150,000 150,000 Direct
2023-01-02 1,200,000 1,200,000 Direct
2025-05-22 1,400,000 1,400,000 Direct
2025-07-17 54,904 54,904 Indirect
2027-06-19 1 1 Direct
Footnotes
  1. Avalon Biomedical (Management) Limited ("Avalon Biomedical"), is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Dr. Johnson Lau ("Dr. Lau") owns all of the outstanding interests in Creative Decade Global Limited, which owns 30% of the outstanding interests in Avalon Global, and Dr. Lau 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.
  2. Dr. Lau 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 Dr. Lau 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.
  3. The option vested in two equal annual installments beginning on December 3, 2009.
  4. The option vested in three equal annual installments beginning on May 9, 2012.
  5. The option vested in full on March 26, 2013.
  6. The option vests in three annual installments beginning on May 22, 2016.
  7. The option vests in three equal annual installments beginning on July 17, 2016.