0001209191-23-027951.txt : 20230508 0001209191-23-027951.hdr.sgml : 20230508 20230508163636 ACCESSION NUMBER: 0001209191-23-027951 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230505 FILED AS OF DATE: 20230508 DATE AS OF CHANGE: 20230508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAU JOHNSON YIU NAM CENTRAL INDEX KEY: 0001181165 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38112 FILM NUMBER: 23898318 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 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-05 0 0001300699 Athenex, Inc. ATNX 0001181165 LAU JOHNSON YIU NAM C/O ATHENEX, INC. 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 1 1 0 0 CEO and Chairman of the Board 0 Common Stock 2023-05-05 4 A 0 8382 1.36 A 250397 D Common Stock 33944 I By Avalon Biomedical (Management) Limited Common Stock 8247 I By Spouse Common Stock 5360 I By Avalon Polytom (HK) Limited Stock Option (Right to Buy) 150.00 2018-05-22 2025-05-22 Common Stock 70000 70000 D Stock Option (Right to Buy) 220.00 2018-06-13 2027-06-13 Common Stock 1 1 D Stock Option (Right to Buy) 180.00 2019-07-17 2025-07-17 Common Stock 2746 2746 I By Avalon Biomedical (Management) Limited Stock Option (Right to Buy) 346.00 2022-03-27 2028-03-27 Common Stock 12500 12500 D Stock Option (Right to Buy) 263.40 2023-02-28 2029-02-28 Common Stock 12500 12500 D Stock Option (Right to Buy) 146.40 2020-12-31 2030-03-24 Common Stock 2753 2753 D Stock Option (Right to Buy) 249.00 2030-06-05 Common Stock 15000 15000 D Stock Option (Right to Buy) 76.00 2031-08-03 Common Stock 7500 7500 D Restricted Stock Units Common Stock 5625 5625 D Stock Option (Right to Buy) 13.31 2032-07-20 Common Stock 12500 12500 D Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase. 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. 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. 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. This option vests in four equal annual installments beginning on June 5, 2021. This option vests in four equal annual installments beginning on August 3, 2022. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock units vest in four equal annual installments beginning on August 3, 2022. This option vests in four equal annual installments beginning on July 20, 2023. /s/Steven Adams, Attorney-in-Fact 2023-05-08