Filing Details
- Accession Number:
- 0000905148-17-000606
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-21 15:10:40
- Reporting Period:
- 2017-06-19
- Filing Date:
- 2017-06-21
- Accepted Time:
- 2017-06-21 15:10:40
- 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 |
|---|---|---|---|---|---|---|---|
| 1708964 | Manson Fok | 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 | 227,273 | $0.00 | 1,469,609 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2017-06-19 | 300,000 | $11.00 | 1,769,609 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
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 | 227,273 | $0.00 |
| Common Stock | Convertible Loan | Disposition | 2017-06-19 | 0 | $0.00 | 227,273 | $0.00 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2017-06-19 | 27,000 | $0.00 | 27,000 | $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 | ||
| 27,000 | 2027-06-19 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 678,880 | Indirect | By Avalon Biomedical (Management) Limited |
Footnotes
- The Convertible Loan, issued pursuant to the Convertible Loan Agreement, dated January 16, 2017, by and between Athenex, Inc. and Manson Fok ("Mr. Fok"), 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 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.
- Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Mr. Fok, together with his spouse, owns all of the outstanding interests in Sino Glory Developments Limited, which owns 30% of the outstanding interests in Avalon Global, and Mr. Fok serves on the board of directors of Avalon Global and shares voting and dispositive power with respect to the has shared held by Avalon Biomedical.
- The option vests in four equal annual installments beginning on June 19, 2018.
- 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 on June 19, 2017.
- Mr. Fok 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. Fok 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.
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