0001209191-23-025401.txt : 20230424 0001209191-23-025401.hdr.sgml : 20230424 20230424163607 ACCESSION NUMBER: 0001209191-23-025401 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230421 FILED AS OF DATE: 20230424 DATE AS OF CHANGE: 20230424 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: 23840557 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 X0407 4 2023-04-21 0 0001300699 Athenex, Inc. ATNX 0001708964 Fok Manson C/O ATHENEX, INC. 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 1 0 0 0 0 Common Stock 2023-04-21 4 A 0 5747 1.305 A 110675 D Common Stock 33944 I By Avalon Biomedical (Management) Limited Common Stock 5360 I By Avalon Polytom (HK) Limited Stock Option (Right to Buy) 91.00 2014-05-13 2023-05-13 Common Stock 2400 2400 D Stock Option (Right to Buy) 91.00 2015-10-11 2023-10-11 Common Stock 1000 1000 D Stock Option (Right to Buy) 91.00 2016-06-12 2024-06-12 Common Stock 2000 2000 D Stock Option (Right to Buy) 150.00 2016-05-18 2025-05-18 Common Stock 2400 2400 D Stock Option (Right to Buy) 180.00 2017-10-17 2025-10-17 Common Stock 2400 2400 D Stock Option (Right to Buy) 220.00 2021-06-13 2027-06-13 Common Stock 1350 1350 D Stock Option (Right to Buy) 180.00 2018-07-17 2025-07-17 Common Stock 2746 2746 I By Avalon Biomedical (Management) Limited Stock Option (Right to Buy) 346.00 2022-03-27 2028-03-27 Common Stock 750 750 D Stock Option (Right to Buy) 263.40 2023-02-28 2029-02-28 Common Stock 500 500 D Stock Option (Right to Buy) 249.00 2030-06-05 Common Stock 500 500 D Stock Option (Right to Buy) 76.00 2022-08-03 2031-08-03 Common Stock 313 313 D Stock Option (Right to Buy) 9.14 2032-06-28 Common Stock 625 625 D Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase. As of February 15, 2023, the issuer effected a reverse stock split of its common stock at a ratio of 1-for-20, resulting in every 20 shares owned by the reporting person to be combined into one share of common stock. 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 was adjusted to reflect the reverse stock split that occurred on February 15, 2023. This option vests in four equal annual installments beginning on June 5, 2021. This option vests on June 28, 2023. /s/ Staci Holquist, Attorney-in-Fact 2023-04-24