Manson Fok - 03 Aug 2021 Form 4 Insider Report for Athenex, Inc.

Role
Director
Signature
/s/ Teresa Bair, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
03 Aug 2021
Net transactions value
$0
Form type
4
Filing time
05 Aug 2021, 17:21:19 UTC
Next filing
11 Apr 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 1,999,609 03 Aug 2021 Direct
holding ATNXQ Common Stock 678,880 03 Aug 2021 By Avalon Biomedical (Management) Limited F1, F2
holding ATNXQ Common Stock 107,181 03 Aug 2021 By Avalon Polytom (HK) Limited F1, F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

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) Award $0 +6,250 $0.000000 6,250 03 Aug 2021 Common Stock 6,250 $3.80 Direct F7
transaction ATNXQ Restricted Stock Units Award $0 +6,250 $0.000000 6,250 03 Aug 2021 Common Stock 6,250 Direct F8, F9
holding ATNXQ Stock Option (Right to Buy) 80,000 03 Aug 2021 Common Stock 80,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 03 Aug 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 20,000 03 Aug 2021 Common Stock 20,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 40,000 03 Aug 2021 Common Stock 40,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 03 Aug 2021 Common Stock 48,000 $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 03 Aug 2021 Common Stock 48,000 $9.00 Direct
holding ATNXQ Stock Option (Right to Buy) 27,000 03 Aug 2021 Common Stock 27,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 54,904 03 Aug 2021 Common Stock 54,904 $9.00 By Avalon Biomedical (Management) Limited F1, F2
holding ATNXQ Stock Option (Right to Buy) 15,000 03 Aug 2021 Common Stock 15,000 $17.30 Direct F4
holding ATNXQ Stock Option (Right to Buy) 10,000 03 Aug 2021 Common Stock 10,000 $13.17 Direct F5
holding ATNXQ Stock Option (Right to Buy) 10,000 03 Aug 2021 Common Stock 10,000 $12.45 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Avalon 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, own all of the outstanding interests in Sino Glory Developments Limited, which owns 34.63% of the outstanding interests in Avalon Global, and Dr. Fok 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. 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.
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 vests in four equal annual installments beginning on June 5, 2021.
F7 This option vests on August 3, 2022.
F8 Each restricted stock unit represents a contingent right to receive one share of stock.
F9 The restricted stock units vest on August 3, 2022.