Accession Number: | 0001209191-21-030733 |
Date: | 2021-05-06 |
Issuer: | ATHENEX, INC. (ATNX) |
Original Submission Date: |
LAU JOHNSON YIU NAM
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2021-05-06 | P | 5,000 | a | $3.99 | 3,242,959 | direct | ||
COMMON STOCK | 2021-05-06 | 0 | $0.00 | 678,880 f2 | indirect | f2 | |||
COMMON STOCK | 2021-05-06 | 0 | $0.00 | 164,925 f2 | indirect | f2 | |||
COMMON STOCK | 2021-05-06 | 0 | $0.00 | 107,181 f3 | indirect | f3 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK OPTION (RIGHT TO BUY) | 4.55 | deemed execution date | 0 ( ) | 2014-05-09 | 2021-05-09 | common stock 80,000 | $4.55 | 80,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 4.55 | deemed execution date | 0 ( ) | 2013-03-26 | 2022-03-26 | common stock 150,000 | $4.55 | 150,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 4.55 | deemed execution date | 0 ( ) | 2013-01-02 | 2023-01-02 | common stock 1,200,000 | $4.55 | 1,200,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 7.5 | deemed execution date | 0 ( ) | 2018-05-22 | 2025-05-22 | common stock 1,400,000 | $7.50 | 1,400,000 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 11.0 | deemed execution date | 0 ( ) | 2018-06-13 | 2027-06-13 | common stock 1 | $11.00 | 1 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 9.0 | deemed execution date | 0 ( ) | 2019-07-17 | 2025-07-17 | common stock 54,904 | $9.00 | 54,904 | indirect | by avalon biomedical (management) limited | ||
STOCK OPTION (RIGHT TO BUY) | 17.3 | deemed execution date | 0 ( ) | 2028-03-27 | common stock 250,000 | $17.30 | 250,000 | direct | ||||
STOCK OPTION (RIGHT TO BUY) | 13.17 | deemed execution date | 0 ( ) | 2029-02-28 | common stock 250,000 | $13.17 | 250,000 | direct | ||||
STOCK OPTION (RIGHT TO BUY) | 7.32 | deemed execution date | 0 ( ) | 2020-12-31 | 2030-03-24 | common stock 55,045 | $7.32 | 55,045 | direct | |||
STOCK OPTION (RIGHT TO BUY) | 12.45 | deemed execution date | 0 ( ) | 2030-06-05 | common stock 300,000 | $12.45 | 300,000 | direct |
ID | footnote |
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f1 | 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. |
f2 | 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. |
f3 | 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. |
f4 | this option vests in four equal annual installments beginning on march 27, 2019. |
f5 | this option vests in four equal annual installments beginning on february 28, 2020. |
f6 | this option was issued to the reporting person pursuant to the 2017 omnibus incentive plan in lieu of $363,846.14 of base salary. |
f7 | this option vests in four equal annual installments beginning on june 5, 2021. |