SEC Form 4 · accession 0001209191-18-008934
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
Period of report
Feb 8, 2018
Accepted (ET)
Feb 9, 2018 · 5:21 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 StockF1 | Feb 8, 2018 | P | 20,000 | $14.3953 | A | 2,767,922 | D | |
| Common StockF2,F3 | holding | — | — | — | 678,880 | I | By Avalon Biomedical (Management) Limited | |
| Common StockF3 | 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)F4 | $4.25 | holding | — | — | — | — | Dec 3, 2018 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F5 | $4.55 | holding | — | — | — | — | May 9, 2021 | Common Stock | 240,000 | 240,000 | D |
| Stock Option (Right to Buy)F6 | $4.55 | holding | — | — | — | — | Mar 26, 2022 | Common Stock | 150,000 | 150,000 | D |
| Stock Option (Right to Buy) | $4.55 | holding | — | — | — | Jan 2, 2013 | Jan 2, 2023 | Common Stock | 1,200,000 | 1,200,000 | D |
| Stock Option (Right to Buy)F7 | $7.50 | holding | — | — | — | — | May 22, 2025 | Common Stock | 1,400,000 | 1,400,000 | D |
| Stock Option (Right to Buy)F2,F3,F8 | $9.00 | holding | — | — | — | — | Jul 17, 2025 | Common Stock | 54,904 | 54,904 | I |
| Stock Option (Right to Buy) | $11.00 | holding | — | — | — | Jun 19, 2018 | Jun 19, 2027 | Common Stock | 1 | 1 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $14.30 to $14.50. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F2Avalon Biomedical (Management) Limited ("Avalon Biomedical"), is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Dr. Johnson Lau ("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.
- F3Dr. 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.
- F4The option vested in two equal annual installments beginning on December 3, 2009.
- F5The option vested in three equal annual installments beginning on May 9, 2012.
- F6The option vested in full on March 26, 2013.
- F7The option vests in three annual installments beginning on May 22, 2016.
- F8The option vests in three equal annual installments beginning on July 17, 2016.