0001209191-19-019428.txt : 20190314 0001209191-19-019428.hdr.sgml : 20190314 20190314161541 ACCESSION NUMBER: 0001209191-19-019428 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190311 FILED AS OF DATE: 20190314 DATE AS OF CHANGE: 20190314 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zhang Song-Yi CENTRAL INDEX KEY: 0001290865 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38112 FILM NUMBER: 19681264 MAIL ADDRESS: STREET 1: C/O: 10/F, FUNG HOUSE STREET 2: 19-20 CONNAUGHT ROAD CENTRAL CITY: HONG KONG STATE: K3 ZIP: - 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 X0306 4 2019-03-11 0 0001300699 Athenex, Inc. ATNX 0001290865 Zhang Song-Yi C/O ATHENEX, INC. 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 1 0 0 0 Common Stock 2019-03-11 4 S 0 32240 11.85 D 4026426 I By Mandra Medical Limited Common Stock 2019-03-12 4 S 0 83381 11.89 D 3943045 I By Mandra Medical Limited Common Stock 2019-03-13 4 S 0 4432 11.82 D 3938613 I By Mandra Medical Limited Common Stock 4000 D Common Stock 181818 I By iBase Ltd. Common Stock 678880 I By Avalon Biomedical (Management) Limited Common Stock 287176 I By Mandra Health Limited Common Stock 107181 I By Avalon Polytom (HK) Limited Stock Option (Right to Buy) 7.50 2016-05-18 2025-05-18 Common Stock 80000 80000 D Stock Option (Right to Buy) 9.00 2017-10-17 2025-10-17 Common Stock 48000 48000 D Stock Option (Right to Buy) 11.00 2027-06-13 Common Stock 28500 28500 D Stock Option (Right to Buy) 9.00 2025-07-17 Common Stock 54904 54904 I By Avalon Biomedical (Management) Limited Stock Option (Right to Buy) 17.30 2028-03-27 Common Stock 16500 16500 D Stock Option (Right to Buy) 13.17 2029-02-28 Common Stock 10000 10000 D This transaction was executed in multiple trades ranging from $11.80 to $11.94. 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. Each of Mandra Health Limited and Mandra Medical Limited are wholly-owned subsidiaries of Beansprouts Limited. Song-Yi Zhang ("Mr. Zhang") is a member of the board of directors of each of Mandra Health Limited and Mandra Medical Limited and, together with his spouse, owns all of the outstanding interests in Beansprouts Limited and shares voting and dispositive power over the shares held by it. Mr. Zhang 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. Zhang 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. This transaction was executed in multiple trades ranging from $11.80 to $12.14. 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. This transaction was executed in multiple trades ranging from $11.80 to $11.86. 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. Mr. Zhang is the sole owner and director of iBase Ltd. and has sole voting and dispositive power over the shares held by iBase Ltd. Avalon Biomedical (Management) Limited ("Avalon Biomedical") is an indirect, wholly-owned subsidiary of Avalon Global Holdings Limited ("Avalon Global"). Mr. Zhang, together with his spouse, indirectly owns all of the outstanding interests in Mandra Medical Limited, which owns 10.82% of the outstanding interests in Avalon Global, and Mr. Zhang 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. 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. The option vested in full on May 18, 2016. The option vested in full on October 17, 2017. The option vests in four equal annual installments beginning on June 13, 2018. The option vests in three equal annual installments beginning on July 17, 2016. This option vests in four equal annual installments beginning on March 27, 2019. This option vests in four equal annual installments beginning on February 28, 2020. Song-Yi Zhang, By: /s/ Teresa Bair, Attorney-in-Fact 2019-03-14