0001209191-19-016552.txt : 20190305
0001209191-19-016552.hdr.sgml : 20190305
20190305163727
ACCESSION NUMBER: 0001209191-19-016552
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180327
FILED AS OF DATE: 20190305
DATE AS OF CHANGE: 20190305
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fok Manson
CENTRAL INDEX KEY: 0001708964
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38112
FILM NUMBER: 19658988
MAIL ADDRESS:
STREET 1: C/O ATHENEX, INC. 1001 MAIN STREET
STREET 2: SUITE 600
CITY: BUFFALO
STATE: NY
ZIP: 14203
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
2018-03-27
0
0001300699
Athenex, Inc.
ATNX
0001708964
Fok Manson
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO
NY
14203
1
0
0
0
Common Stock
1819609
D
Common Stock
678880
I
By Avalon Biomedical (Management) Limited
Common Stock
107181
I
By Avalon Polytom (HK) Limited
Stock Option (Right to Buy)
4.55
2014-01-02
2023-01-02
Common Stock
80000
80000
D
Stock Option (Right to Buy)
4.55
2014-05-13
2023-05-13
Common Stock
48000
48000
D
Stock Option (Right to Buy)
4.55
2015-10-11
2023-10-11
Common Stock
20000
20000
D
Stock Option (Right to Buy)
4.55
2016-06-12
2024-06-12
Common Stock
40000
40000
D
Stock Option (Right to Buy)
7.50
2016-05-18
2025-05-18
Common Stock
48000
48000
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
27000
27000
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)
17.30
2018-03-27
4
A
0
15000
0.00
A
2028-03-27
Common Stock
15000
15000
D
Stock Option (Right to Buy)
13.17
2029-02-28
Common Stock
10000
10000
D
Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Mason Fok, M.B., B.S. ("Dr. Fok"), together with his spouse, own all of the outstanding interests in Sino Glory Developments Limited, which owns 34.63% of the outstanding interests in Avalon Global, and Dr. Fok 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. Fok 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. Fok 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 June 13, 2018.
This 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.
/s/ Teresa Bair, Attorney-in-Fact
2019-03-05