Form D
View Original Filing
Notice of Exempt Offering of Securities
Item 1. Issuer's Identity
Name of Issuer:
ATHENEX, INC.
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
Over Five Years Ago
Previous Name(s)
- KINEX PHARMACEUTICALS, INC.
- KINEX PHARMACEUTICALS LLC
Item 2 Issuer Principal Place of Business and Contact Information
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203
Phone Number:
subscription required
Item 3. Related Persons
Name
JOHNSON LAU
Address
subscription required
Relationship(s)
- EXECUTIVE OFFICER
- DIRECTOR
Clarification of Response
Item 3. Related Persons
Name
RANDOLL SZE
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JEFFREY YORDON
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
RUDOLF KWAN
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
SIMON PEDDER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
WILLIAM ZUO
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
KIM CAMPBELL
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
STEPHANIE DAVIS
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
MANSON FOK
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JORDAN KANFER
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN KOH
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
BENSON TSANG
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JOHN VIERLING
Address
subscription required
Relationship(s)
Clarification of Response
Item 3. Related Persons
Name
JINN WU
Address
subscription required
Relationship(s)
Clarification of Response
Item 4. Industry Group
PHARMACEUTICALS
Item 5. Issuer Size
Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
$25,000,001 - $100,000,000
Item 6. Federal Exemptions and Exclusions Claimed
Item 7. Type of Filing
New Notice
Date of First Sale in this Offering:
05/03/2019
Item 8. Duration of Offering
Does the issuer intend this offering to last more than one year?
No
Item 9. Type(s) of Securities Offered
Item 10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response
Item 11. Minimum Investment
Minimum Investment accepted from any outside investor
0
Item 13. Offering and Sales Amounts
Total Offering Amount
100000000
Total Amount Sold
100000000
Total Remaining to be Sold
0
Clarification of Response
Item 14. Investors
Securities in the offering have been or may be sold to persons
who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
4
Item 15. Sales Commissions and Finders' Fees Expenses
Sales Commissions:
0.0
Finders' Fees
0.0
Clarification of Response
Item 16. Use of Proceeds
Provide the amount of the gross proceeds of the offering
that has been or is proposed to be used for payments to any of the persons required
to be named as executive officers,directors or promoters in response to Item 3 above.
0.0 Is an estimate
Clarification of Response
Signature and Submission
Issuer Name
ATHENEX, INC.
Issuer Signature
/S/ TERESA BAIR
Signer Name
TERESA BAIR
Signer Title
CORPORATE SECRETARY
Signature Date
05/14/2019