Filing Details

Accession Number:
0001209191-20-057610
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-10 16:10:19
Reporting Period:
2020-11-10
Accepted Time:
2020-11-10 16:10:19
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 2020-11-10 1,000 $11.95 3,151,959 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 164,925 Indirect By Spouse
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) $4.55 2014-05-09 2021-05-09 165,000 165,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2013-03-26 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 2018-05-22 2025-05-22 1,400,000 1,400,000 Direct
Common Stock Stock Option (Right to Buy) $11.00 2018-06-13 2027-06-13 1 1 Direct
Common Stock Stock Option (Right to Buy) $9.00 2019-07-17 2025-07-17 54,904 54,904 Indirect
Common Stock Stock Option (Right to Buy) $17.30 2028-03-27 250,000 250,000 Direct
Common Stock Stock Option (Right to Buy) $13.17 2029-02-28 250,000 250,000 Direct
Common Stock Stock Option (Right to Buy) $7.32 2020-12-31 2030-03-24 55,045 55,045 Direct
Common Stock Stock Option (Right to Buy) $12.45 2030-06-05 300,000 300,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-05-09 165,000 165,000 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
2027-06-13 1 1 Direct
2025-07-17 54,904 54,904 Indirect
2028-03-27 250,000 250,000 Direct
2029-02-28 250,000 250,000 Direct
2030-03-24 55,045 55,045 Direct
2030-06-05 300,000 300,000 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 34.63% 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. 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.
  4. This option vests in four equal annual installments beginning on March 27, 2019.
  5. This option vests in four equal annual installments beginning on February 28, 2020.
  6. This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary.
  7. This option vests in four equal annual installments beginning on June 5, 2021.