4//SEC Filing
Fok Manson 4
Accession 0001209191-22-039786
CIK 0001300699other
Filed
Jun 28, 8:00 PM ET
Accepted
Jun 29, 4:13 PM ET
Size
26.0 KB
Accession
0001209191-22-039786
Insider Transaction Report
Form 4
Athenex, Inc.ATNX
Fok Manson
Director
Transactions
- Award
Stock Option (Right to Buy)
2022-06-28+12,500→ 12,500 totalExercise: $0.46Exp: 2032-06-28→ Common Stock (12,500 underlying)
Holdings
- 80,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-01-02Exp: 2023-01-02→ 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) - 27,000
Stock Option (Right to Buy)
Exercise: $11.00From: 2021-06-13Exp: 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) - 2,009,582
Common Stock
- 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
- 40,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2016-06-12Exp: 2024-06-12→ Common Stock (40,000 underlying) - 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 48,000
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: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (48,000 underlying) - 15,000
Stock Option (Right to Buy)
Exercise: $17.30From: 2022-03-27Exp: 2028-03-27→ Common Stock (15,000 underlying) - 10,000
Stock Option (Right to Buy)
Exercise: $12.45Exp: 2030-06-05→ Common Stock (10,000 underlying) - 6,250
Restricted Stock Units
→ Common Stock (6,250 underlying) - 10,000
Stock Option (Right to Buy)
Exercise: $13.17Exp: 2029-02-28→ Common Stock (10,000 underlying) - 6,250
Stock Option (Right to Buy)
Exercise: $3.80Exp: 2031-08-03→ Common Stock (6,250 underlying) - 20,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2015-10-11Exp: 2023-10-11→ Common Stock (20,000 underlying)
Footnotes (9)
- [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 February 28, 2020.
- [F5]This option vests in four equal annual installments beginning on June 5, 2021.
- [F6]This option vests on August 3, 2022.
- [F7]Each restricted stock unit represents a contingent right to receive one share of stock.
- [F8]The restricted stock units vest on August 3, 2022.
- [F9]This option vests on June 28, 2023.
Documents
Issuer
Athenex, Inc.
CIK 0001300699
Entity typeother
Related Parties
1- filerCIK 0001708964
Filing Metadata
- Form type
- 4
- Filed
- Jun 28, 8:00 PM ET
- Accepted
- Jun 29, 4:13 PM ET
- Size
- 26.0 KB