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Filing Details

Accession Number:: 0001209191-19-019428
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-03-14 16:15:41
Reporting Period:: 2019-03-11

Accepted Time:: 2019-03-14 16:15:41
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	No	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	Disposition	2019-03-11	32,240	$11.85	4,026,426	No	4	S	Indirect	By Mandra Medical Limited
Common Stock	Disposition	2019-03-12	83,381	$11.89	3,943,045	No	4	S	Indirect	By Mandra Medical Limited
Common Stock	Disposition	2019-03-13	4,432	$11.82	3,938,613	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
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)	$7.50	2016-05-18	2025-05-18	80,000	80,000	Direct
Common Stock	Stock Option (Right to Buy)	$9.00	2017-10-17	2025-10-17	48,000	48,000	Direct
Common Stock	Stock Option (Right to Buy)	$11.00		2027-06-13	28,500	28,500	Direct
Common Stock	Stock Option (Right to Buy)	$9.00		2025-07-17	54,904	54,904	Indirect
Common Stock	Stock Option (Right to Buy)	$17.30		2028-03-27	16,500	16,500	Direct
Common Stock	Stock Option (Right to Buy)	$13.17		2029-02-28	10,000	10,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2025-05-18	80,000	80,000	Direct
2025-10-17	48,000	48,000	Direct
2027-06-13	28,500	28,500	Direct
2025-07-17	54,904	54,904	Indirect
2028-03-27	16,500	16,500	Direct
2029-02-28	10,000	10,000	Direct

Footnotes

This transaction was executed in multiple trades ranging from $11.80 to $11.94. 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 $11.80 to $12.14. 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.
This transaction was executed in multiple trades ranging from $11.80 to $11.86. 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.
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.
The option vested in full on May 18, 2016.
The option vested in full on October 17, 2017.
The option vests in four equal annual installments beginning on June 13, 2018.
The option vests in three equal annual installments beginning on July 17, 2016.
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.