4//SEC Filing
Zhang Song-Yi 4
Accession 0001209191-19-019428
CIK 0001300699other
Filed
Mar 13, 8:00 PM ET
Accepted
Mar 14, 4:15 PM ET
Size
24.3 KB
Accession
0001209191-19-019428
Insider Transaction Report
Form 4
Athenex, Inc.ATNX
Zhang Song-Yi
Director10% Owner
Transactions
- Sale
Common Stock
2019-03-11$11.85/sh−32,240$382,044→ 4,026,426 total(indirect: By Mandra Medical Limited) - Sale
Common Stock
2019-03-12$11.89/sh−83,381$991,400→ 3,943,045 total(indirect: By Mandra Medical Limited) - Sale
Common Stock
2019-03-13$11.82/sh−4,432$52,386→ 3,938,613 total(indirect: By Mandra Medical Limited)
Holdings
- 4,000
Common Stock
- 181,818(indirect: By iBase Ltd.)
Common Stock
- 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 287,176(indirect: By Mandra Health Limited)
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) - 28,500
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-13→ Common Stock (28,500 underlying) - 10,000
Stock Option (Right to Buy)
Exercise: $13.17Exp: 2029-02-28→ Common Stock (10,000 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 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) - 16,500
Stock Option (Right to Buy)
Exercise: $17.30Exp: 2028-03-27→ Common Stock (16,500 underlying)
Footnotes (14)
- [F1]This transaction was executed in multiple trades ranging from $11.80 to $11.94. 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 vested in full on October 17, 2017.
- [F11]The option vests in four equal annual installments beginning on June 13, 2018.
- [F12]The option vests in three equal annual installments beginning on July 17, 2016.
- [F13]This option vests in four equal annual installments beginning on March 27, 2019.
- [F14]This option vests in four equal annual installments beginning on February 28, 2020.
- [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 $11.80 to $12.14. 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]This transaction was executed in multiple trades ranging from $11.80 to $11.86. 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.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]The option vested in full on May 18, 2016.
Documents
Issuer
Athenex, Inc.
CIK 0001300699
Entity typeother
Related Parties
1- filerCIK 0001290865
Filing Metadata
- Form type
- 4
- Filed
- Mar 13, 8:00 PM ET
- Accepted
- Mar 14, 4:15 PM ET
- Size
- 24.3 KB