Filing Details

Accession Number:
0000905148-17-000605
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-21 15:08:55
Reporting Period:
2017-06-19
Filing Date:
2017-06-21
Accepted Time:
2017-06-21 15:08:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1300699 Athenex Inc. ATNX Pharmaceutical Preparations (2834) 431985966
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1709158 Antony Leung C/O Athenex, Inc., 1001 Main Street
Suite 600
Buffalo NY 14203
No 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 Acquisiton 2017-06-19 1,136,364 $0.00 1,803,028 No 4 C Indirect By Sunderland Global Limited
Common Stock Acquisiton 2017-06-19 300,000 $0.00 300,000 No 4 P Indirect By Permwell Management Limited
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Sunderland Global Limited
No 4 P Indirect By Permwell Management Limited
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Convertible Loan Acquisiton 2017-06-19 0 $0.00 1,136,364 $0.00
Common Stock Convertible Loan Disposition 2017-06-19 0 $0.00 1,136,364 $0.00
Common Stock Stock Option (Right to Buy) Acquisiton 2017-06-19 15,000 $0.00 15,000 $11.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 A Direct
0 No 4 C Direct
15,000 2027-06-19 No 4 A Direct
Footnotes
  1. The Convertible Loan, issued pursuant to the Convertible Loan Agreement, dated September 29, 2016, by and between Athenex, Inc. and Sunderland Global 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 the outstanding principal amount of such notes reduced by a 20.0% discount to the initial public offering price; which was $11.00, and has no expiration date.
  2. Sunderland Global Limited is an indirect wholly-owned subsidiary of Nan Fung Group. Antony Leung ("Mr. Leung") is the CEO of Nan Fung Group and has shared voting and dispositive power over the shares held by Sunderland Global Limited.
  3. Permwell Management Limited is an indirect wholly-owned subsidiary of Nan Fung Group. Mr. Leung is the CEO of Nan Fung Group and has shared voting and dispositive power of the shares held by Permwell Management Limited.
  4. The option vests in four equal annual installments beginning on June 19, 2018.
  5. Mr. Leung 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. Leung 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.
  6. Due to the conditions to closing of the initial public offering of the Common Stock, this purchase was not deemed to occur until closing, or June 19, 2017.