ATHENEX, INC. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2017-05-03: Federal exemption Rule 506(b); Types of securities offered Debt; Date of first sale 2017-04-19; Total offering amount $20,000,000.
- 2016-10-07: Federal exemption Rule 506(b); Types of securities offered Debt; Date of first sale 2016-09-23; Total offering amount $50,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|---|---|---|---|---|---|---|
| 2017-05-03 | Rule 506(b) | Debt | 2017-04-19 | $20,000,000 | $20,000,000 | $0 | 1 |
| 2016-10-07 | Rule 506(b) | Debt | 2016-09-23 | $50,000,000 | $37,900,000 | $12,100,000 | 5 |