Filing Details
- Accession Number:
- 0001209191-18-032670
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-23 17:14:41
- Reporting Period:
- 2018-05-15
- Accepted Time:
- 2018-05-23 17:14:41
- 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 | Yes | No | |
| 1709068 | Ltd Medical Mandra | Newhaven Trustees (Bvi) Ltd., 3Rd Floor J&Amp;C Building, P.o. Box 933, Road Town Tortola D8 VG1110 | No | No | Yes | No | |
| 1709077 | Ltd Beansprouts | Newhaven Trustees (Bvi) Ltd., 3Rd Floor J&Amp;C Building, P.o. Box 933, Road Town Tortola D8 VG1110 | No | No | Yes | No | |
| 1709117 | Tammy How Bing Mui | C/O Athenex, Inc., 1001 Main Street Suite 600 Buffalo NY 14203 | No | No | Yes | 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 | 2018-05-15 | 29,244 | $16.93 | 5,913,456 | No | 4 | S | Indirect | By Mandra Medical Limited |
| Common Stock | Disposition | 2018-05-16 | 44,506 | $16.84 | 5,868,950 | No | 4 | S | Indirect | By Mandra Medical Limited |
| Common Stock | Disposition | 2018-05-17 | 26,250 | $16.87 | 5,842,700 | 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 |
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 | 2025-05-18 | 80,000 | 80,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $9.00 | 2025-10-17 | 48,000 | 48,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $11.00 | 2027-06-14 | 28,500 | 28,500 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $9.00 | 2025-07-17 | 54,904 | 54,904 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-05-18 | 80,000 | 80,000 | Direct |
| 2025-10-17 | 48,000 | 48,000 | Direct |
| 2027-06-14 | 28,500 | 28,500 | Direct |
| 2025-07-17 | 54,904 | 54,904 | Indirect |
Footnotes
- This transaction was executed in multiple trades ranging from $16.80 to $17.01. 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.
- 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.
- 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.
- This transaction was executed in multiple trades ranging from $16.80 to $16.97. 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.
- 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.
- 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.
- The option vested in full on May 18, 2016.
- The option vested in two equal annual installments beginning on October 17, 2016.
- The option vests in four equal annual installments beginning on June 14, 2018.
- The option vests in three equal annual installments beginning on July 17, 2016.
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