4//SEC Filing
Fok Manson 4
Accession 0001209191-22-048048
CIK 0001300699other
Filed
Aug 29, 8:00 PM ET
Accepted
Aug 30, 6:30 PM ET
Size
26.8 KB
Accession
0001209191-22-048048
Insider Transaction Report
Form 4
Athenex, Inc.ATNX
Fok Manson
Director
Transactions
- Exercise/Conversion
Restricted Stock Units
2022-08-03−6,250→ 0 total→ Common Stock (6,250 underlying) - Exercise/Conversion
Common Stock
2022-08-03+6,250→ 2,027,102 total
Holdings
- 40,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2016-06-12Exp: 2024-06-12→ Common Stock (40,000 underlying) - 80,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-01-02Exp: 2023-01-02→ Common Stock (80,000 underlying) - 678,880(indirect: By Avalon Biomedical (Management) Limited)
Common Stock
- 107,181(indirect: By Avalon Polytom (HK) Limited)
Common Stock
- 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) - 10,000
Stock Option (Right to Buy)
Exercise: $13.17Exp: 2029-02-28→ Common Stock (10,000 underlying) - 27,000
Stock Option (Right to Buy)
Exercise: $11.00From: 2021-06-13Exp: 2027-06-13→ Common Stock (27,000 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2014-05-13Exp: 2023-05-13→ Common Stock (48,000 underlying) - 20,000
Stock Option (Right to Buy)
Exercise: $4.55From: 2015-10-11Exp: 2023-10-11→ Common Stock (20,000 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $9.00From: 2017-10-17Exp: 2025-10-17→ 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
Stock Option (Right to Buy)
Exercise: $3.80From: 2022-08-03Exp: 2031-08-03→ Common Stock (6,250 underlying) - 48,000
Stock Option (Right to Buy)
Exercise: $7.50From: 2016-05-18Exp: 2025-05-18→ Common Stock (48,000 underlying) - 12,500
Stock Option (Right to Buy)
Exercise: $0.46Exp: 2032-06-28→ Common Stock (12,500 underlying)
Footnotes (7)
- [F1]These restricted stock units, which convert into common stock on a one-for one basis, vested on August 3, 2022.
- [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 June 28, 2023.
Documents
Issuer
Athenex, Inc.
CIK 0001300699
Entity typeother
Related Parties
1- filerCIK 0001708964
Filing Metadata
- Form type
- 4
- Filed
- Aug 29, 8:00 PM ET
- Accepted
- Aug 30, 6:30 PM ET
- Size
- 26.8 KB