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.
- 2019-12-11: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2019-12-09; Total offering amount $60,369,975.
- 2019-05-15: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2019-05-03; Total offering amount $100,000,000.
- 2015-06-16: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2015-04-04; Total offering amount $10,000,016.
- 2015-06-16: Federal exemption Rule 506(b); Types of securities offered Equity; Date of first sale 2015-03-26; Total offering amount Indefinite.
| 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 |
|---|---|---|---|---|---|---|---|
| 2019-12-11 | Rule 506(b) | Equity | 2019-12-09 | $60,369,975 | $60,369,975 | $0 | 5 |
| 2019-05-15 | Rule 506(b) | Equity | 2019-05-03 | $100,000,000 | $100,000,000 | $0 | 4 |
| 2015-06-16 | Rule 506(b) | Equity | 2015-04-04 | $10,000,016 | $10,000,016 | $0 | 2 |
| 2015-06-16 D/A | Rule 506(b) | Equity | 2015-03-26 | Indefinite | $74,399,996 | Indefinite | 9 |
| 2015-05-20 | Rule 506(b) | Equity | 2015-04-08 | $62,799,990 | $48,099,980 | $14,700,010 | 9 |
| 2013-12-23 | Rule 506(b) | Equity | 2013-12-12 | $40,000,000 | $300,000 | $39,700,000 | 1 |
| 2012-08-06 | Rule 506 | Equity | 2012-07-30 | $40,000,000 | $5,000,000 | $35,000,000 | 1 |
| 2011-04-25 | Rule 506 | Equity | 2011-04-19 | $5,000,000 | $4,674,600 | $325,400 | 2 |
| 2010-02-03 D/A | Rule 506 | Equity | 2009-12-30 | $6,000,000 | $4,075,000 | $1,925,000 | 24 |
| 2010-01-07 | Rule 506 | Equity | 2009-12-30 | $6,000,000 | $3,810,000 | $2,190,000 | 20 |