0001209191-21-022068.txt : 20210319
0001209191-21-022068.hdr.sgml : 20210319
20210319161258
ACCESSION NUMBER: 0001209191-21-022068
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210319
FILED AS OF DATE: 20210319
DATE AS OF CHANGE: 20210319
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LAU JOHNSON YIU NAM
CENTRAL INDEX KEY: 0001181165
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38112
FILM NUMBER: 21758298
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Athenex, Inc.
CENTRAL INDEX KEY: 0001300699
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 431985966
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1001 MAIN STREET
STREET 2: SUITE 600
CITY: BUFFALO
STATE: NY
ZIP: 14203
BUSINESS PHONE: 716-898-8625
MAIL ADDRESS:
STREET 1: 1001 MAIN STREET
STREET 2: SUITE 600
CITY: BUFFALO
STATE: NY
ZIP: 14203
FORMER COMPANY:
FORMER CONFORMED NAME: Kinex Pharmaceuticals, Inc.
DATE OF NAME CHANGE: 20131223
FORMER COMPANY:
FORMER CONFORMED NAME: Kinex Pharmaceuticals LLC
DATE OF NAME CHANGE: 20040817
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-03-19
0
0001300699
Athenex, Inc.
ATNX
0001181165
LAU JOHNSON YIU NAM
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO
NY
14203
1
1
0
0
CEO and Chairman of the Board
Common Stock
2021-03-19
4
M
0
20000
4.55
A
3202959
D
Common Stock
678880
I
By Avalon Biomedical (Management) Limited
Common Stock
164925
I
By Spouse
Common Stock
107181
I
By Avalon Polytom (HK) Limited
Stock Option (Right to Buy)
4.55
2021-03-19
4
M
0
20000
0.00
D
2014-05-09
2021-05-09
Common Stock
20000
115000
D
Stock Option (Right to Buy)
4.55
2013-03-26
2022-03-26
Common Stock
150000
150000
D
Stock Option (Right to Buy)
4.55
2013-01-02
2023-01-02
Common Stock
1200000
1200000
D
Stock Option (Right to Buy)
7.50
2018-05-22
2025-05-22
Common Stock
1400000
1400000
D
Stock Option (Right to Buy)
11.00
2018-06-13
2027-06-13
Common Stock
1
1
D
Stock Option (Right to Buy)
9.00
2019-07-17
2025-07-17
Common Stock
54904
54904
I
By Avalon Biomedical (Management) Limited
Stock Option (Right to Buy)
17.30
2028-03-27
Common Stock
250000
250000
D
Stock Option (Right to Buy)
13.17
2029-02-28
Common Stock
250000
250000
D
Stock Option (Right to Buy)
7.32
2020-12-31
2030-03-24
Common Stock
55045
55045
D
Stock Option (Right to Buy)
12.45
2030-06-05
Common Stock
300000
300000
D
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 four equal annual installments beginning on March 27, 2019.
This option vests in four equal annual installments beginning on February 28, 2020.
This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary.
This option vests in four equal annual installments beginning on June 5, 2021.
Dr. Lau paid the exercise price of the stock options, paid the required tax and retained the shares.
/s/Teresa Bair, Attorney-in-Fact
2021-03-19