Filing Details

Accession Number:
0001209191-19-019428
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-03-14 16:15:41
Reporting Period:
2019-03-11
Accepted Time:
2019-03-14 16:15:41
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
1290865 Song-Yi Zhang C/o Athenex, Inc.
1001 Main Street, Suite 600
Buffalo NY 14203
Yes 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 Disposition 2019-03-11 32,240 $11.85 4,026,426 No 4 S Indirect By Mandra Medical Limited
Common Stock Disposition 2019-03-12 83,381 $11.89 3,943,045 No 4 S Indirect By Mandra Medical Limited
Common Stock Disposition 2019-03-13 4,432 $11.82 3,938,613 No 4 S Indirect By Mandra Medical Limited
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect By Mandra Medical Limited
No 4 S Indirect By Mandra Medical Limited
No 4 S Indirect By Mandra Medical Limited
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,000 Direct
Common Stock 181,818 Indirect By iBase Ltd.
Common Stock 678,880 Indirect By Avalon Biomedical (Management) Limited
Common Stock 287,176 Indirect By Mandra Health Limited
Common Stock 107,181 Indirect By Avalon Polytom (HK) Limited
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $7.50 2016-05-18 2025-05-18 80,000 80,000 Direct
Common Stock Stock Option (Right to Buy) $9.00 2017-10-17 2025-10-17 48,000 48,000 Direct
Common Stock Stock Option (Right to Buy) $11.00 2027-06-13 28,500 28,500 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) $17.30 2028-03-27 16,500 16,500 Direct
Common Stock Stock Option (Right to Buy) $13.17 2029-02-28 10,000 10,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2025-05-18 80,000 80,000 Direct
2025-10-17 48,000 48,000 Direct
2027-06-13 28,500 28,500 Direct
2025-07-17 54,904 54,904 Indirect
2028-03-27 16,500 16,500 Direct
2029-02-28 10,000 10,000 Direct
Footnotes
  1. This transaction was executed in multiple trades ranging from $11.80 to $11.94. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
  2. Each of Mandra Health Limited and Mandra Medical Limited are wholly-owned subsidiaries of Beansprouts Limited. Song-Yi Zhang ("Mr. Zhang") is a member of the board of directors of each of 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.
  3. 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.
  4. This transaction was executed in multiple trades ranging from $11.80 to $12.14. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
  5. This transaction was executed in multiple trades ranging from $11.80 to $11.86. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
  6. 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.
  7. Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect, wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Mr. Zhang, together with his spouse, indirectly owns all of the outstanding interests in Mandra Medical Limited, which owns 10.82% 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.
  8. These shares were acquired pursuant to the terms of a License Agreement dated as of June 29, 2018 by and between Athenex Therapeutics Limited, a wholly-owned subsidiary of Athenex, Inc. ("Athenex") and Avalon Polytom (HK) Limited, a majority-owned affiliate of Avalon Global. The number of shares was determined by dividing $2.0 million by the closing price of Athenex common stock on June 29, 2018.
  9. The option vested in full on May 18, 2016.
  10. The option vested in full on October 17, 2017.
  11. The option vests in four equal annual installments beginning on June 13, 2018.
  12. The option vests in three equal annual installments beginning on July 17, 2016.
  13. This option vests in four equal annual installments beginning on March 27, 2019.
  14. This option vests in four equal annual installments beginning on February 28, 2020.