Fok Manson 4

Accession 0001209191-18-042450

CIK 0001300699other

Filed

Jul 11, 8:00 PM ET

Accepted

Jul 12, 4:12 PM ET

Size

18.4 KB

Accession

0001209191-18-042450

Form 4

Period: 2018-06-29

Director

Transactions

Award
Common Stock
2018-06-29+107,181→ 107,181 total(indirect: By Avalon Polytom (HK) Limited)

Holdings

Common Stock
1,819,609
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-01-02Exp: 2023-01-02→ Common Stock (80,000 underlying)
80,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2015-10-11Exp: 2023-10-11→ Common Stock (20,000 underlying)
20,000
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-14→ Common Stock (27,000 underlying)
27,000
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
(indirect: By Avalon Biomedical (Management) Limited)
678,880
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-05-13Exp: 2023-05-13→ Common Stock (48,000 underlying)
48,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2016-06-12Exp: 2024-06-12→ Common Stock (40,000 underlying)
40,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (48,000 underlying)
48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying)
48,000

Footnotes (5)

[F1]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.
[F2]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.
[F3]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.
[F4]This option vests in four equal annual installments beginning on June 14, 2018.
[F5]This option vests in three equal annual installments beginning on July 17, 2016.

Documents

1 file

Athenex, Inc.

CIK 0001300699

Entity typeother