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4//SEC Filing

Fok Manson 4

Accession 0001209191-22-042874

CIK 0001300699other
View on SEC.govCompany Profile

Filed

Jul 20, 8:00 PM ET

Accepted

Jul 21, 5:02 PM ET

Size

26.2 KB

Accession

0001209191-22-042874

Insider Transaction Report

Form 4
Period: 2022-07-20
Athenex, Inc.ATNX
Fok Manson
Director
Transactions
  • Award

    Common Stock

    2022-07-20$0.67/sh+11,270$7,500→ 2,020,852 total
Holdings

  • Common Stock

    (indirect: By Avalon Polytom (HK) Limited)
    107,181

  • Common Stock

    (indirect: By Avalon Biomedical (Management) Limited)
    678,880

  • Stock Option (Right to Buy)

    Exercise: $4.55From: 2014-01-02Exp: 2023-01-02→ Common Stock (80,000 underlying)
    80,000

  • Restricted Stock Units

    → Common Stock (6,250 underlying)
    6,250

  • Stock Option (Right to Buy)

    Exercise: $0.46Exp: 2032-06-28→ Common Stock (12,500 underlying)
    12,500

  • 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: $4.55From: 2016-06-12Exp: 2024-06-12→ Common Stock (40,000 underlying)
    40,000

  • Stock Option (Right to Buy)

    Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (48,000 underlying)
    48,000

  • Stock Option (Right to Buy)

    Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ Common Stock (48,000 underlying)
    48,000

  • Stock Option (Right to Buy)

    Exercise: $11.00From: 2021-06-13Exp: 2027-06-13→ Common Stock (27,000 underlying)
    27,000

  • Stock Option (Right to Buy)

    (indirect: By Avalon Biomedical (Management) Limited)
    Exercise: $9.00From: 2018-07-17Exp: 2025-07-17→ Common Stock (54,904 underlying)
    54,904

  • Stock Option (Right to Buy)

    Exercise: $17.30From: 2022-03-27Exp: 2028-03-27→ Common Stock (15,000 underlying)
    15,000

  • Stock Option (Right to Buy)

    Exercise: $13.17Exp: 2029-02-28→ Common Stock (10,000 underlying)
    10,000

  • Stock Option (Right to Buy)

    Exercise: $12.45Exp: 2030-06-05→ Common Stock (10,000 underlying)
    10,000

  • Stock Option (Right to Buy)

    Exercise: $3.80Exp: 2031-08-03→ Common Stock (6,250 underlying)
    6,250

  • Stock Option (Right to Buy)

    Exercise: $4.55From: 2015-10-11Exp: 2023-10-11→ Common Stock (20,000 underlying)
    20,000
Footnotes (10)
  • [F1]Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase.
  • [F10]This option vests on June 28, 2023.
  • [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 February 28, 2020.
  • [F6]This option vests in four equal annual installments beginning on June 5, 2021.
  • [F7]This option vests on August 3, 2022.
  • [F8]Each restricted stock unit represents a contingent right to receive one share of stock.
  • [F9]The restricted stock units vest on August 3, 2022.

Documents

1 file

Issuer

Athenex, Inc.

CIK 0001300699

→
Entity typeother

Related Parties

1
  • filerCIK 0001708964

Filing Metadata

Form type
4
Filed
Jul 20, 8:00 PM ET
Accepted
Jul 21, 5:02 PM ET
Size
26.2 KB
View on SEC.gov