SEC Form 4 · accession 0001209191-18-008931
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manson Fok
Director
Period of report
Feb 7, 2018
Accepted (ET)
Feb 9, 2018 · 5:20 pm EST
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 | Feb 7, 2018 | P | 30,000 | $14.3105 | A | 1,799,609 | D | |
| Common Stock | Feb 8, 2018 | P | 20,000 | $14.4436 | A | 1,819,609 | D | |
| Common StockF1,F2 | holding | — | — | — | 678,880 | I | By Avalon Biomedical (Management) 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)F3 | $4.55 | holding | — | — | — | — | Jan 2, 2023 | Common Stock | 80,000 | 80,000 | D |
| Stock Option (Right to Buy)F4 | $4.55 | holding | — | — | — | — | May 13, 2023 | Common Stock | 48,000 | 48,000 | D |
| Stock Option (Right to Buy)F5 | $4.55 | holding | — | — | — | — | Oct 11, 2023 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (Right to Buy)F6 | $4.55 | holding | — | — | — | — | Jun 12, 2024 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to Buy)F7 | $7.50 | holding | — | — | — | — | May 18, 2025 | Common Stock | 48,000 | 48,000 | D |
| Stock Option (Right to Buy)F8 | $9.00 | holding | — | — | — | — | Oct 17, 2025 | Common Stock | 48,000 | 48,000 | D |
| Stock Option (Right to Buy)F9 | $11.00 | holding | — | — | — | — | Jun 19, 2027 | Common Stock | 27,000 | 27,000 | D |
| Stock Option (Right to Buy)F1,F2,F10 | $9.00 | holding | — | — | — | — | Jul 17, 2025 | Common Stock | 54,904 | 54,904 | I |
Explanation of responses
- F1Avalon 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, owns all of the outstanding interests in Sino Glory Developments Limited, which owns 30% of the outstanding interests in Avalon Global, and Dr. Fok serves on the board of directors of Avalon Global and shares voting and dispositive power with respect to the has shared held by Avalon Biomedical.
- F10The option vests in three equal annual installments beginning on July 17, 2016.
- F2Dr. 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.
- F3The option vested in full on January 2, 2014.
- F4The option vested in full on May 13, 2014.
- F5The option vested in two equal annual installments beginning on October 11, 2014.
- F6The option vested in two equal annual installments beginning on June 12, 2015.
- F7The option vested in full on May 18, 2016.
- F8The option vested in two equal annual installments beginning on October 17, 2016.
- F9The option vests in four equal annual installments beginning on June 19, 2018.