SEC Form 4 · accession 0000905148-17-000615
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johnson Yiu Nam Lau
Officer — CEO and Chairman of the Board · Director · 10% Owner
Period of report
Jun 19, 2017
Accepted (ET)
Jun 21, 2017 · 3:16 pm 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 Stock | Jun 19, 2017 | A | 400,000 | $0.00 | A | 2,722,722 | D | |
| Common StockF3 | Jun 19, 2017 | P | 25,200 | $11.00 | A | 2,747,922 | D | |
| Common StockF1,F2 | holding | — | — | — | 678,880 | I | By Avalon Biomedical (Management) Limited | |
| Common StockF2 | holding | — | — | — | 161,647 | I | By Spouse |
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) | $11.00 | Jun 19, 2017 | A | 1 | A | Jun 19, 2018 | Jun 19, 2027 | Common Stock | 1 | 1 | D |
Explanation of responses
- F1Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Dr. Lau owns all of the outstanding interests in Creative Decade Global Limited, which owns 30% of the outstanding interests in Avalon Global, and Dr. Lau 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.
- F2Dr. Lau 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. Lau 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.
- F3Due to the conditions to closing of the initial public offering of the Common Stock, this purchase was not deemed to occur until closing, or on June 19, 2017.
Remarks
Exhibit List: The Power of Attorney filed as 24.1 to the Form 3 filed by the Reporting Person on June 13, 2017 is incorporated herein by reference.