4//SEC Filing
Zhang Song-Yi 4
Accession 0001209191-19-016615
CIK 0001300699other
Filed
Mar 4, 7:00 PM ET
Accepted
Mar 5, 4:45 PM ET
Size
19.5 KB
Accession
0001209191-19-016615
Insider Transaction Report
Form 4
Athenex, Inc.ATNX
Zhang Song-Yi
Director10% Owner
Transactions
- Award
Stock Option (Right to Buy)
2018-03-27+16,500→ 16,500 totalExercise: $17.30Exp: 2028-03-27→ Common Stock (16,500 underlying)
Holdings
- 181,818(indirect: By iBase Ltd.)
Common Stock
- 287,176(indirect: By Mandra Health Limited)
Common Stock
- 4,000
Common Stock
- 4,058,666(indirect: By Mandra Medical Limited)
Common Stock
- 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying) - 10,000
Stock Option (Right to Buy)
Exercise: $13.17Exp: 2029-02-28→ Common Stock (10,000 underlying) - 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: 2027-06-13→ 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)
Footnotes (11)
- [F1]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.
- [F10]This option vests in four equal annual installments beginning on March 27, 2019.
- [F11]This option vests in four equal annual installments beginning on February 28, 2020.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]The option vested in full on May 18, 2016.
- [F7]The option vested in full on October 17, 2017.
- [F8]The option vests in four equal annual installments beginning on June 13, 2018.
- [F9]The option vests in three equal annual installments beginning on July 17, 2016.
Documents
Issuer
Athenex, Inc.
CIK 0001300699
Entity typeother
Related Parties
1- filerCIK 0001290865
Filing Metadata
- Form type
- 4
- Filed
- Mar 4, 7:00 PM ET
- Accepted
- Mar 5, 4:45 PM ET
- Size
- 19.5 KB