ATHENEX, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-06-19: Reporting owner Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd | Mandra Medical Ltd; Form 4; Security Convertible Loan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-19: Reporting owner Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd | Mandra Medical Ltd; Form 4; Security Convertible Loan; Transaction C Conversion of derivative security.
- 2017-06-19: Reporting owner Fok Manson; Form 4; Security Convertible Loan; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-19: Reporting owner Fok Manson; Form 4; Security Convertible Loan; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-06-19 | Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd | Mandra Medical Ltd Director | Director, 10% Owner | Director | Director | 4 | Convertible Loan Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,500 0 owned after | $0.00 | 2017-06-21 | |
| 2017-06-19 | Mui Bing How Tammy | Zhang Song-Yi | Beansprouts Ltd | Mandra Medical Ltd Director | Director, 10% Owner | Director | Director | 4 | Convertible Loan Derivative · Indirect · (m) | C Conversion of derivative security | 28,500 owned after | $0.00 | 2017-06-21 | |
| 2017-06-19 | Fok Manson Director | 4 | Convertible Loan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,000 0 owned after | $0.00 | 2017-06-21 | |
| 2017-06-19 | Fok Manson Director | 4 | Convertible Loan Derivative · Direct | C Conversion of derivative security | 27,000 owned after | $0.00 | 2017-06-21 | |
| 2017-06-19 | Leung Antony Director | 4 | Convertible Loan Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 0 owned after | $0.00 | 2017-06-21 | |
| 2017-06-19 | Leung Antony Director | 4 | Convertible Loan Derivative · Direct | C Conversion of derivative security | 15,000 owned after | $0.00 | 2017-06-21 |