4//SEC Filing
Fok Manson 4
Accession 0001209191-19-055978
CIK 0001300699other
Filed
Nov 11, 7:00 PM ET
Accepted
Nov 12, 4:06 PM ET
Size
21.3 KB
Accession
0001209191-19-055978
Insider Transaction Report
Form 4
Athenex, Inc.ATNX
Fok Manson
Director
Transactions
- Purchase
Common Stock
2019-11-07$11.67/sh+50,000$583,500→ 1,869,609 total
Holdings
- 80,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-01-02Exp: 2023-01-02→ Common Stock (80,000 underlying) - 20,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2015-10-11Exp: 2023-10-11→ Common Stock (20,000 underlying) - 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
- 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying) - 40,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2016-06-12Exp: 2024-06-12→ Common Stock (40,000 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-05-13Exp: 2023-05-13→ Common Stock (48,000 underlying) - 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 48,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (48,000 underlying) - 27,000
Stock Option (Right to Buy)
Exercise: $11.00Exp: 2027-06-13→ Common Stock (27,000 underlying) - 54,904(indirect: By Avalon Biomedical (Management) Limited)
Stock Option (Right to Buy)
Exercise: $9.00From: 2018-07-17Exp: 2025-07-17→ Common Stock (54,904 underlying) - 15,000
Stock Option (Right to Buy)
Exercise: $17.30Exp: 2028-03-27→ Common Stock (15,000 underlying) - 10,000
Stock Option (Right to Buy)
Exercise: $13.17Exp: 2029-02-28→ Common Stock (10,000 underlying)
Footnotes (7)
- [F1]This transaction was executed in multiple trades ranging from $11.54 to $11.78. 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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]This option vests in four equal annual installments beginning on June 13, 2018.
- [F6]This option vests in four equal annual installments beginning on March 27, 2019.
- [F7]This option vests in four equal annual installments beginning on February 28, 2020.
Documents
Issuer
Athenex, Inc.
CIK 0001300699
Entity typeother
Related Parties
1- filerCIK 0001708964
Filing Metadata
- Form type
- 4
- Filed
- Nov 11, 7:00 PM ET
- Accepted
- Nov 12, 4:06 PM ET
- Size
- 21.3 KB