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4//SEC Filing

Zhang Song-Yi 4

Accession 0001209191-18-037451

CIK 0001300699other
View on SEC.govCompany Profile

Filed

Jun 12, 8:00 PM ET

Accepted

Jun 13, 4:11 PM ET

Size

20.5 KB

Accession

0001209191-18-037451

Insider Transaction Report

Form 4
Period: 2018-06-12
Athenex, Inc.ATNX
Zhang Song-Yi
Director10% Owner
Transactions
  • Other

    Common Stock

    2018-06-12−71,794→ 5,554,914 total(indirect: By Mandra Medical Limited)
Holdings

  • Common Stock

    (indirect: By iBase Ltd.)
    181,818

  • Common Stock

    (indirect: By Mandra Health Limited)
    287,176

  • Common Stock

    (indirect: By Avalon Biomedical (Management) Limited)
    678,880

  • Common Stock

    4,000

  • Stock Option (Right to Buy)

    Exercise: $7.50Exp: 2025-05-18→ Common Stock (80,000 underlying)
    80,000

  • Stock Option (Right to Buy)

    Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying)
    28,500

  • Stock Option (Right to Buy)

    (indirect: By Avalon Biomedical (Management) Limited)
    Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying)
    54,904

  • Stock Option (Right to Buy)

    Exercise: $9.00Exp: 2025-10-17→ Common Stock (48,000 underlying)
    48,000
Mui Bing How Tammy
10% Owner
Transactions
  • Other

    Common Stock

    2018-06-12−71,794→ 5,554,914 total(indirect: By Mandra Medical Limited)
Holdings

  • Stock Option (Right to Buy)

    (indirect: By Avalon Biomedical (Management) Limited)
    Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying)
    54,904

  • Common Stock

    (indirect: By Avalon Biomedical (Management) Limited)
    678,880

  • Common Stock

    (indirect: By iBase Ltd.)
    181,818

  • Stock Option (Right to Buy)

    Exercise: $7.50Exp: 2025-05-18→ Common Stock (80,000 underlying)
    80,000

  • Stock Option (Right to Buy)

    Exercise: $9.00Exp: 2025-10-17→ Common Stock (48,000 underlying)
    48,000

  • Common Stock

    4,000

  • Common Stock

    (indirect: By Mandra Health Limited)
    287,176

  • Stock Option (Right to Buy)

    Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying)
    28,500
Mandra Medical Ltd
10% Owner
Transactions
  • Other

    Common Stock

    2018-06-12−71,794→ 5,554,914 total(indirect: By Mandra Medical Limited)
Holdings

  • Common Stock

    (indirect: By iBase Ltd.)
    181,818

  • Common Stock

    (indirect: By Avalon Biomedical (Management) Limited)
    678,880

  • Common Stock

    (indirect: By Mandra Health Limited)
    287,176

  • Stock Option (Right to Buy)

    Exercise: $7.50Exp: 2025-05-18→ Common Stock (80,000 underlying)
    80,000

  • Stock Option (Right to Buy)

    Exercise: $9.00Exp: 2025-10-17→ Common Stock (48,000 underlying)
    48,000

  • Common Stock

    4,000

  • Stock Option (Right to Buy)

    Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying)
    28,500

  • Stock Option (Right to Buy)

    (indirect: By Avalon Biomedical (Management) Limited)
    Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying)
    54,904
Beansprouts Ltd
10% Owner
Transactions
  • Other

    Common Stock

    2018-06-12−71,794→ 5,554,914 total(indirect: By Mandra Medical Limited)
Holdings

  • Stock Option (Right to Buy)

    Exercise: $7.50Exp: 2025-05-18→ Common Stock (80,000 underlying)
    80,000

  • Stock Option (Right to Buy)

    (indirect: By Avalon Biomedical (Management) Limited)
    Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying)
    54,904

  • Common Stock

    4,000

  • Common Stock

    (indirect: By Avalon Biomedical (Management) Limited)
    678,880

  • Common Stock

    (indirect: By Mandra Health Limited)
    287,176

  • Stock Option (Right to Buy)

    Exercise: $9.00Exp: 2025-10-17→ Common Stock (48,000 underlying)
    48,000

  • Common Stock

    (indirect: By iBase Ltd.)
    181,818

  • Stock Option (Right to Buy)

    Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying)
    28,500
Footnotes (9)
  • [F1]Represents a pro-rata, in-kind distribution by Mandra Medical Limited, without additional consideration.
  • [F2]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.
  • [F3]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.
  • [F4]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.
  • [F5]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.
  • [F6]The option vested in full on May 18, 2016.
  • [F7]The option vested in two equal annual installments beginning on October 17, 2016.
  • [F8]The option vests in four equal annual installments beginning on June 14, 2018.
  • [F9]The option vests in three equal annual installments beginning on July 17, 2016.

Documents

1 file

Issuer

Athenex, Inc.

CIK 0001300699

→
Entity typeother

Related Parties

1
  • filerCIK 0001290865

Filing Metadata

Form type
4
Filed
Jun 12, 8:00 PM ET
Accepted
Jun 13, 4:11 PM ET
Size
20.5 KB
View on SEC.gov