0000905148-17-000606.txt : 20170621 0000905148-17-000606.hdr.sgml : 20170621 20170621151040 ACCESSION NUMBER: 0000905148-17-000606 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170619 FILED AS OF DATE: 20170621 DATE AS OF CHANGE: 20170621 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Athenex, Inc. CENTRAL INDEX KEY: 0001300699 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 431985966 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1001 MAIN STREET STREET 2: SUITE 600 CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 716-898-8625 MAIL ADDRESS: STREET 1: 1001 MAIN STREET STREET 2: SUITE 600 CITY: BUFFALO STATE: NY ZIP: 14203 FORMER COMPANY: FORMER CONFORMED NAME: Kinex Pharmaceuticals, Inc. DATE OF NAME CHANGE: 20131223 FORMER COMPANY: FORMER CONFORMED NAME: Kinex Pharmaceuticals LLC DATE OF NAME CHANGE: 20040817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fok Manson CENTRAL INDEX KEY: 0001708964 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38112 FILM NUMBER: 17922739 MAIL ADDRESS: STREET 1: C/O ATHENEX, INC. 1001 MAIN STREET STREET 2: SUITE 600 CITY: BUFFALO STATE: NY ZIP: 14203 4 1 form4.xml X0306 4 2017-06-19 0001300699 Athenex, Inc. ATNX 0001708964 Fok Manson C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 true Common Stock 2017-06-19 4 C 0 227273 A 1469609 D Common Stock 2017-06-19 4 P 0 300000 11 A 1769609 D Common Stock 678880 I By Avalon Biomedical (Management) Limited Convertible Loan 2017-06-19 4 A 0 2000000 0 A Common Stock 227273 2000000 D Convertible Loan 2017-06-19 4 C 0 2000000 0 D Common Stock 227273 0 D Stock Option (Right to Buy) 11 2017-06-19 4 A 0 27000 0 A 2027-06-19 Common Stock 27000 27000 D The Convertible Loan, issued pursuant to the Convertible Loan Agreement, dated January 16, 2017, by and between Athenex, Inc. and Manson Fok ("Mr. Fok"), was automatically convertible into shares of Athenex, Inc. common stock upon the closing of Athenex, Inc.'s initial public offering at a conversion price equal to outstanding principal amount of such notes reduced by a 20.0% discount to the initial public offering price; which was $11.00, and has no expiration date. Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Mr. 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 Mr. 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. The option vests in four equal annual installments beginning on June 19, 2018. Due to the conditions to closing of the initial public offering of the Common Stock, this purchase was not deemed to occur until closing, or on June 19, 2017. Mr. 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 Mr. 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. Exhibit List: The Power of Attorney filed as 24.1 to the Form 3 filed by the Reporting Person on June 13, 2017 is incorporated herein by reference. /s/ Teresa Bair, attorney-in-fact 2017-06-21