0001209191-22-053417.txt : 20221012 0001209191-22-053417.hdr.sgml : 20221012 20221012083011 ACCESSION NUMBER: 0001209191-22-053417 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221007 FILED AS OF DATE: 20221012 DATE AS OF CHANGE: 20221012 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: 221305614 MAIL ADDRESS: STREET 1: C/O ATHENEX, INC. 1001 MAIN STREET STREET 2: SUITE 600 CITY: BUFFALO STATE: NY ZIP: 14203 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 2022-10-07 0 0001300699 Athenex, Inc. ATNX 0001708964 Fok Manson C/O ATHENEX, INC. 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 1 0 0 0 Common Stock 2022-10-07 4 A 0 31133 0.2409 A 2058235 D Common Stock 678880 I By Avalon Biomedical (Management) Limited Common Stock 107181 I By Avalon Polytom (HK) Limited Stock Option (Right to Buy) 4.55 2014-01-02 2023-01-02 Common Stock 80000 80000 D Stock Option (Right to Buy) 4.55 2014-05-13 2023-05-13 Common Stock 48000 48000 D Stock Option (Right to Buy) 4.55 2015-10-11 2023-10-11 Common Stock 20000 20000 D Stock Option (Right to Buy) 4.55 2016-06-12 2024-06-12 Common Stock 40000 40000 D Stock Option (Right to Buy) 7.50 2016-05-18 2025-05-18 Common Stock 48000 48000 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 2021-06-13 2027-06-13 Common Stock 27000 27000 D Stock Option (Right to Buy) 9.00 2018-07-17 2025-07-17 Common Stock 54904 54904 I By Avalon Biomedical (Management) Limited Stock Option (Right to Buy) 17.30 2022-03-27 2028-03-27 Common Stock 15000 15000 D Stock Option (Right to Buy) 13.17 2029-02-28 Common Stock 10000 10000 D Stock Option (Right to Buy) 12.45 2030-06-05 Common Stock 10000 10000 D Stock Option (Right to Buy) 3.80 2022-08-03 2031-08-03 Common Stock 6250 6250 D Stock Option (Right to Buy) 0.457 2032-06-28 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"). Mason Fok, M.B., B.S. ("Dr. Fok"), together with his spouse, own all of the outstanding interests in Sino Glory Developments Limited, which owns 34.63% of the outstanding interests in Avalon Global, and Dr. Fok 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. 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. 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 February 28, 2020. This option vests in four equal annual installments beginning on June 5, 2021. This option vests on June 28, 2023. /s/ Staci Holquist, Attorney-in-Fact 2022-10-12