| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/07/2018 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 02/07/2018 | P | 30,000 | A | $14.3105 | 1,799,609 | D | |||
| Common Stock | 02/08/2018 | P | 20,000 | A | $14.4436 | 1,819,609 | D | |||
| Common Stock | 678,880 | I(1)(2) | By Avalon Biomedical (Management) Limited(1)(2) | |||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $4.55 | (3) | 01/02/2023 | Common Stock | 80,000 | 80,000 | D | ||||||||
| Stock Option (Right to Buy) | $4.55 | (4) | 05/13/2023 | Common Stock | 48,000 | 48,000 | D | ||||||||
| Stock Option (Right to Buy) | $4.55 | (5) | 10/11/2023 | Common Stock | 20,000 | 20,000 | D | ||||||||
| Stock Option (Right to Buy) | $4.55 | (6) | 06/12/2024 | Common Stock | 40,000 | 40,000 | D | ||||||||
| Stock Option (Right to Buy) | $7.5 | (7) | 05/18/2025 | Common Stock | 48,000 | 48,000 | D | ||||||||
| Stock Option (Right to Buy) | $9 | (8) | 10/17/2025 | Common Stock | 48,000 | 48,000 | D | ||||||||
| Stock Option (Right to Buy) | $11 | (9) | 06/19/2027 | Common Stock | 27,000 | 27,000 | D | ||||||||
| Stock Option (Right to Buy) | $9 | (10) | 07/17/2025 | Common Stock | 54,904 | 54,904 | I(1)(2) | By Avalon Biomedical (Management) Limited(1)(2) | |||||||
| Explanation of Responses: |
| 1. 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, owns all of the outstanding interests in Sino Glory Developments Limited, which owns 30% of the outstanding interests in Avalon Global, and Dr. 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. |
| 2. 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. |
| 3. The option vested in full on January 2, 2014. |
| 4. The option vested in full on May 13, 2014. |
| 5. The option vested in two equal annual installments beginning on October 11, 2014. |
| 6. The option vested in two equal annual installments beginning on June 12, 2015. |
| 7. The option vested in full on May 18, 2016. |
| 8. The option vested in two equal annual installments beginning on October 17, 2016. |
| 9. The option vests in four equal annual installments beginning on June 19, 2018. |
| 10. The option vests in three equal annual installments beginning on July 17, 2016. |
| Remarks: |
| /s/ Teresa Bair, Attorney-in-Fact | 02/09/2018 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||