SEC Form 3 · accession 0000899243-17-018231
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 14, 2017
Accepted (ET)
Jul 13, 2017 · 10:29 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001300699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 6,444,032 | I | By Advance Data Services Limited |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $7.50 | holding | — | — | — | — | May 18, 2025 | Common Stock | 80,000 | — | D |
Explanation of responses
- F1Advance Data Services Limited is solely owned by Huateng Ma.
- F2The option vested in two equal annual installments beginning on May 18, 2015.