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