4//SEC Filing
Zhang Song-Yi 4
Accession 0001209191-18-047782
CIK 0001300699other
Filed
Aug 20, 8:00 PM ET
Accepted
Aug 21, 5:23 PM ET
Size
24.5 KB
Accession
0001209191-18-047782
Insider Transaction Report
Form 4
Athenex, Inc.ATNX
Mandra Medical Ltd
10% Owner
Transactions
- Sale
Common Stock
2018-08-17$17.18/sh−70,133$1,204,885→ 5,337,616 total(indirect: By Mandra Medical Limited) - Sale
Common Stock
2018-08-20$17.11/sh−46,000$787,060→ 5,291,616 total(indirect: By Mandra Medical Limited)
Holdings
- 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
- 80,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (80,000 underlying) - 28,500
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying) - 54,904(indirect: By Avalon Biomedical (Management) Limited)
Stock Option (Right to Buy)
Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying) - 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 287,176(indirect: By Mandra Health Limited)
Common Stock
- 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying) - 4,000
Common Stock
- 181,818(indirect: By iBase Ltd.)
Common Stock
Mui Bing How Tammy
10% Owner
Transactions
- Sale
Common Stock
2018-08-20$17.11/sh−46,000$787,060→ 5,291,616 total(indirect: By Mandra Medical Limited) - Sale
Common Stock
2018-08-17$17.18/sh−70,133$1,204,885→ 5,337,616 total(indirect: By Mandra Medical Limited)
Holdings
- 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
- 54,904(indirect: By Avalon Biomedical (Management) Limited)
Stock Option (Right to Buy)
Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying) - 80,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (80,000 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying) - 28,500
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying) - 4,000
Common Stock
- 181,818(indirect: By iBase Ltd.)
Common Stock
- 287,176(indirect: By Mandra Health Limited)
Common Stock
Zhang Song-Yi
Director10% Owner
Transactions
- Sale
Common Stock
2018-08-17$17.18/sh−70,133$1,204,885→ 5,337,616 total(indirect: By Mandra Medical Limited) - Sale
Common Stock
2018-08-20$17.11/sh−46,000$787,060→ 5,291,616 total(indirect: By Mandra Medical Limited)
Holdings
- 181,818(indirect: By iBase Ltd.)
Common Stock
- 80,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (80,000 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying) - 28,500
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying) - 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 4,000
Common Stock
- 287,176(indirect: By Mandra Health Limited)
Common Stock
- 54,904(indirect: By Avalon Biomedical (Management) Limited)
Stock Option (Right to Buy)
Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying) - 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
Beansprouts Ltd
10% Owner
Transactions
- Sale
Common Stock
2018-08-17$17.18/sh−70,133$1,204,885→ 5,337,616 total(indirect: By Mandra Medical Limited) - Sale
Common Stock
2018-08-20$17.11/sh−46,000$787,060→ 5,291,616 total(indirect: By Mandra Medical Limited)
Holdings
- 54,904(indirect: By Avalon Biomedical (Management) Limited)
Stock Option (Right to Buy)
Exercise: $9.00Exp: 2025-07-17→ Common Stock (54,904 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying) - 181,818(indirect: By iBase Ltd.)
Common Stock
- 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
- 80,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (80,000 underlying) - 4,000
Common Stock
- 287,176(indirect: By Mandra Health Limited)
Common Stock
- 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 28,500
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-14→ Common Stock (28,500 underlying)
Footnotes (11)
- [F1]This transaction was executed in multiple trades ranging from $16.89 to $17.33. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
- [F10]The option vests in four equal annual installments beginning on June 14, 2018.
- [F11]The option vests in three equal annual installments beginning on July 17, 2016.
- [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]This transaction was executed in multiple trades ranging from $17.00 to $17.37. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
- [F5]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.
- [F6]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.
- [F7]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.
- [F8]The option vested in full on May 18, 2016.
- [F9]The option vested in full on October 17, 2017.
Documents
Issuer
Athenex, Inc.
CIK 0001300699
Entity typeother
Related Parties
1- filerCIK 0001290865
Filing Metadata
- Form type
- 4
- Filed
- Aug 20, 8:00 PM ET
- Accepted
- Aug 21, 5:23 PM ET
- Size
- 24.5 KB