0001209191-19-015925.txt : 20190304
0001209191-19-015925.hdr.sgml : 20190304
20190304182707
ACCESSION NUMBER: 0001209191-19-015925
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190228
FILED AS OF DATE: 20190304
DATE AS OF CHANGE: 20190304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Zhang Song-Yi
CENTRAL INDEX KEY: 0001290865
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38112
FILM NUMBER: 19655759
MAIL ADDRESS:
STREET 1: C/O: 10/F, FUNG HOUSE
STREET 2: 19-20 CONNAUGHT ROAD CENTRAL
CITY: HONG KONG
STATE: K3
ZIP: -
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
2019-02-28
0
0001300699
Athenex, Inc.
ATNX
0001290865
Zhang Song-Yi
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO
NY
14203
1
0
0
0
Common Stock
4058666
I
By Mandra Medical Limited
Common Stock
4000
D
Common Stock
181818
I
By iBase Ltd.
Common Stock
678880
I
By Avalon Biomedical (Management) Limited
Common Stock
287176
I
By Mandra Health Limited
Common Stock
107181
I
By Avalon Polytom (HK) Limited
Stock Option (Right to Buy)
7.50
2016-05-18
2025-05-18
Common Stock
80000
80000
D
Stock Option (Right to Buy)
9.00
2017-10-17
2025-10-17
Common Stock
48000
48000
D
Stock Option (Right to Buy)
11.00
2027-06-13
Common Stock
28500
28500
D
Stock Option (Right to Buy)
9.00
2025-07-17
Common Stock
54904
54904
I
By Avalon Biomedical (Management) Limited
Stock Option (Right to Buy)
13.17
2019-02-28
4
A
0
10000
0.00
A
2029-02-28
Common Stock
10000
10000
D
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.
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 February 28, 2020.
Song-Yi Zhang, By: /s/ Teresa Bair, Attorney-in-Fact
2019-03-04