| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ATNXQ | Common Stock | Purchase | $20,690 | +10,000 | +0.31% | $2.07* | 3,260,959 | 12 Nov 2021 | Direct | F1 |
| holding | ATNXQ | Common Stock | 678,880 | 12 Nov 2021 | By Avalon Biomedical (Management) Limited | F2, F3 | |||||
| holding | ATNXQ | Common Stock | 164,925 | 12 Nov 2021 | By Spouse | F3 | |||||
| holding | ATNXQ | Common Stock | 107,181 | 12 Nov 2021 | By Avalon Polytom (HK) Limited | F2, F3, F4 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | ATNXQ | Stock Option (Right to Buy) | 150,000 | 12 Nov 2021 | Common Stock | 150,000 | $4.55 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 1,200,000 | 12 Nov 2021 | Common Stock | 1,200,000 | $4.55 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 1,400,000 | 12 Nov 2021 | Common Stock | 1,400,000 | $7.50 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 1 | 12 Nov 2021 | Common Stock | 1 | $11.00 | Direct | ||||||
| holding | ATNXQ | Stock Option (Right to Buy) | 54,904 | 12 Nov 2021 | Common Stock | 54,904 | $9.00 | By Avalon Biomedical (Management) Limited | F2, F3 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 250,000 | 12 Nov 2021 | Common Stock | 250,000 | $17.30 | Direct | F5 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 250,000 | 12 Nov 2021 | Common Stock | 250,000 | $13.17 | Direct | F6 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 55,045 | 12 Nov 2021 | Common Stock | 55,045 | $7.32 | Direct | F7 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 300,000 | 12 Nov 2021 | Common Stock | 300,000 | $12.45 | Direct | F8 | |||||
| holding | ATNXQ | Stock Option (Right to Buy) | 150,000 | 12 Nov 2021 | Common Stock | 150,000 | $3.80 | Direct | F9 | |||||
| holding | ATNXQ | Restricted Stock Units | 150,000 | 12 Nov 2021 | Common Stock | 150,000 | Direct | F10, F11 |
| Id | Content |
|---|---|
| F1 | This transaction was executed in multiple trades ranging from $2.065 to $2.070. 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 full information regarding the number of shares and prices at which the transactions were effected. |
| F2 | 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. |
| F3 | 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. |
| F4 | 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. |
| F5 | This option vests in four equal annual installments beginning on March 27, 2019. |
| F6 | This option vests in four equal annual installments beginning on February 28, 2020. |
| F7 | This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary. |
| F8 | This option vests in four equal annual installments beginning on June 5, 2021. |
| F9 | This option vests in four equal annual installments beginning on August 3, 2022. |
| F10 | Each restricted stock unit represents a contingent right to receive one share of stock. |
| F11 | The restricted stock units vest in four equal annual installments beginning on August 3, 2022. |
Exhibit List: Exhibit 24.1 - Power of Attorney