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Filing Details

Accession Number:: 0001209191-18-049992
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-09-07 06:45:14
Reporting Period:: 2018-09-06

Accepted Time:: 2018-09-07 06:45:14
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	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-09-06	5,000	$15.84	2,825,422	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	161,647	Indirect	By Spouse
Common Stock	107,181	Indirect	By Avalon Polytom (HK) Limited

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$4.25	2010-12-03	2018-12-03	20,000	20,000	Direct
Common Stock	Stock Option (Right to Buy)	$4.55	2014-05-09	2021-05-09	240,000	240,000	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		2025-07-17	54,904	54,904	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2018-12-03	20,000	20,000	Direct
2021-05-09	240,000	240,000	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

Footnotes

This transaction was executed in multiple trades ranging from $15.82 to $15.89. 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.
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 three equal installments beginning on July 17, 2016.