| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATNXQ | Common Stock | Options Exercise | $22.8K | +5K | +0.15% | $4.55* | 3.25M | May 7, 2021 | Direct | |
| holding | ATNXQ | Common Stock | 679K | May 7, 2021 | By Avalon Biomedical (Management) Limited | F1, F2 | |||||
| holding | ATNXQ | Common Stock | 165K | May 7, 2021 | By Spouse | F2 | |||||
| holding | ATNXQ | Common Stock | 107K | May 7, 2021 | By Avalon Polytom (HK) Limited | F1, F2, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATNXQ | Stock Option (Right to Buy) | Options Exercise | $0 | -5K | -6.25% | $0.00 | 75K | May 7, 2021 | Common Stock | 5K | $4.55 | Direct | |
| holding | ATNXQ | Stock Option (Right to Buy) | 150K | May 7, 2021 | Common Stock | 150K | $4.55 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 1.2M | May 7, 2021 | Common Stock | 1.2M | $4.55 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 1.4M | May 7, 2021 | Common Stock | 1.4M | $7.50 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 1 | May 7, 2021 | Common Stock | 1 | $11.00 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 54.9K | May 7, 2021 | Common Stock | 54.9K | $9.00 | By Avalon Biomedical (Management) Limited | F1, F2 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 250K | May 7, 2021 | Common Stock | 250K | $17.30 | Direct | F4 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 250K | May 7, 2021 | Common Stock | 250K | $13.17 | Direct | F5 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 55K | May 7, 2021 | Common Stock | 55K | $7.32 | Direct | F6 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 300K | May 7, 2021 | Common Stock | 300K | $12.45 | Direct | F7 |
| Id | Content |
|---|---|
| F1 | Avalon 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 34.63% 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. |
| F2 | Dr. 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. |
| F3 | 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. |
| F4 | This option vests in four equal annual installments beginning on March 27, 2019. |
| F5 | This option vests in four equal annual installments beginning on February 28, 2020. |
| F6 | This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary. |
| F7 | This option vests in four equal annual installments beginning on June 5, 2021. |
Dr. Lau paid the exercise price of the stock options, paid the required tax and retained the shares.