Sec Form 4 Filing - LAU JOHNSON YIU NAM @ Athenex, Inc. - 2020-12-01

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
LAU JOHNSON YIU NAM
2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
CEO and Chairman of the Board
(Last) (First) (Middle)
C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600
3. Date of Earliest Transaction (MM/DD/YY)
12/01/2020
(Street)
BUFFALO, NY14203
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 12/01/2020 P 1,000 A $ 13.31 3,152,959 D
Common Stock 678,880 I ( 1 ) ( 2 ) By Avalon Biomedical (Management) Limited ( 1 ) ( 2 )
Common Stock 164,925 I ( 2 ) By Spouse ( 2 )
Common Stock 107,181 ( 3 ) I ( 1 ) ( 2 ) ( 3 ) By Avalon Polytom (HK) Limited ( 1 ) ( 2 ) ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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 05/09/2014 05/09/2021 Common Stock 165,000 165,000 D
Stock Option (Right to Buy) $ 4.55 03/26/2013 03/26/2022 Common Stock 150,000 150,000 D
Stock Option (Right to Buy) $ 4.55 01/02/2013 01/02/2023 Common Stock 1,200,000 1,200,000 D
Stock Option (Right to Buy) $ 7.5 05/22/2018 05/22/2025 Common Stock 1,400,000 1,400,000 D
Stock Option (Right to Buy) $ 11 06/13/2018 06/13/2027 Common Stock 1 1 D
Stock Option (Right to Buy) $ 9 07/17/2019 07/17/2025 Common Stock 54,904 54,904 I ( 1 ) ( 2 ) By Avalon Biomedical (Management) Limited ( 1 ) ( 2 )
Stock Option (Right to Buy) $ 17.3 ( 4 ) 03/27/2028 Common Stock 250,000 250,000 D
Stock Option (Right to Buy) $ 13.17 ( 5 ) 02/28/2029 Common Stock 250,000 250,000 D
Stock Option (Right to Buy) $ 7.32 12/31/2020( 6 ) 03/24/2030 Common Stock 55,045 55,045 D
Stock Option (Right to Buy) $ 12.45 ( 7 ) 06/05/2030 Common Stock 300,000 300,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
LAU JOHNSON YIU NAM
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO, NY14203
X CEO and Chairman of the Board
Signatures
/s/Teresa Bair, Attorney-in-Fact 12/01/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )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.
( 3 )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.
( 4 )This option vests in four equal annual installments beginning on March 27, 2019.
( 5 )This option vests in four equal annual installments beginning on February 28, 2020.
( 6 )This option was issued to the reporting person pursuant to the 2017 Omnibus Incentive Plan in lieu of $363,846.14 of base salary.
( 7 )This option vests in four equal annual installments beginning on June 5, 2021.

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