Filing Details
- Accession Number:
- 0001209191-21-066090
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-11-22 16:13:32
- Reporting Period:
- 2021-11-22
- Accepted Time:
- 2021-11-22 16:13:32
- 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 | 2021-11-22 | 3,000 | $1.84 | 3,274,959 | 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 | 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 | |
| Common Stock | Stock Option (Right to Buy) | $3.80 | 2031-08-03 | 150,000 | 150,000 | Direct | |
| Common Stock | Restricted Stock Units | $0.00 | 150,000 | 150,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 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 |
| 2031-08-03 | 150,000 | 150,000 | Direct |
| 150,000 | 150,000 | Direct |
Footnotes
- 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.
- 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.
- 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.
- This option vests in four equal annual installments beginning on March 27, 2019.
- This option vests in four equal annual installments beginning on February 28, 2020.
- This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary.
- This option vests in four equal annual installments beginning on June 5, 2021.
- This option vests in four equal annual installments beginning on August 3, 2022.
- Each restricted stock unit represents a contingent right to receive one share of stock.
- The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
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