Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-050001
Date:2021-08-03
Issuer: ATHENEX, INC. (ATNX)
Original Submission Date:

Reporting Person:

FOK MANSON
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600 BUFFALO, NY 14203

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-08-03 0 $0.00 1,999,609 direct
COMMON STOCK 2021-08-03 0 $0.00 678,880 f2 indirect f2
COMMON STOCK 2021-08-03 0 $0.00 107,181 f3 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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) 3.8 2021-08-03 deemed execution date A 6,250 (a) 2031-08-03 common stock 6,250 $3.80 6,250 direct
RESTRICTED STOCK UNITS 0.0 2021-08-03 deemed execution date A 6,250 (a) common stock 6,250 $0.00 6,250 direct
STOCK OPTION (RIGHT TO BUY) 4.55 deemed execution date 0 ( ) 2014-01-02 2023-01-02 common stock 80,000 $4.55 80,000 direct
STOCK OPTION (RIGHT TO BUY) 4.55 deemed execution date 0 ( ) 2014-05-13 2023-05-13 common stock 48,000 $4.55 48,000 direct
STOCK OPTION (RIGHT TO BUY) 4.55 deemed execution date 0 ( ) 2015-10-11 2023-10-11 common stock 20,000 $4.55 20,000 direct
STOCK OPTION (RIGHT TO BUY) 4.55 deemed execution date 0 ( ) 2016-06-12 2024-06-12 common stock 40,000 $4.55 40,000 direct
STOCK OPTION (RIGHT TO BUY) 7.5 deemed execution date 0 ( ) 2016-05-18 2025-05-18 common stock 48,000 $7.50 48,000 direct
STOCK OPTION (RIGHT TO BUY) 9.0 deemed execution date 0 ( ) 2017-10-17 2025-10-17 common stock 48,000 $9.00 48,000 direct
STOCK OPTION (RIGHT TO BUY) 11.0 deemed execution date 0 ( ) 2021-06-13 2027-06-13 common stock 27,000 $11.00 27,000 direct
STOCK OPTION (RIGHT TO BUY) 9.0 deemed execution date 0 ( ) 2018-07-17 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 15,000 $17.30 15,000 direct
STOCK OPTION (RIGHT TO BUY) 13.17 deemed execution date 0 ( ) 2029-02-28 common stock 10,000 $13.17 10,000 direct
STOCK OPTION (RIGHT TO BUY) 12.45 deemed execution date 0 ( ) 2030-06-05 common stock 10,000 $12.45 10,000 direct
Footnotes
IDfootnote
f1 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.
f2 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.
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 vests in four equal annual installments beginning on june 5, 2021.
f7 this option vests on august 3, 2022.
f8 each restricted stock unit represents a contingent right to receive one share of stock.
f9 the restricted stock units vest on august 3, 2022.

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