ATHENEX, INC. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2023-10-02: Form 8-K; Period of report 2023-09-12; Description 1.03 Bankruptcy or Receivership; 2.01 Completion of Acquisition or Disposition of Assets; 3.03 Material Modification to Rights of Security Holders; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 1.03.
- 2023-08-17: Form 8-K; Period of report 2023-08-11; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
- 2023-07-18: Form 8-K; Period of report 2023-06-06; Description 1.01 Entry into a Material Definitive Agreement; 1.02 Termination of a Material Definitive Agreement; 1.03 Bankruptcy or Receivership; 2.01 Completion of Acquisition or Disposition of Assets; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 1.01.
- 2023-05-22: Form 8-K; Period of report 2023-05-09; Description 1.03 Bankruptcy or Receivership; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement; 2.05 Costs Associated with Exit or Disposal Activities; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 1.03.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2023-10-02 | 8-K | 2023-09-12 | 1.03 Bankruptcy or Receivership; 2.01 Completion of Acquisition or Disposition of Assets; 3.03 Material Modification to Rights of Security Holders; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.03 As previously disclosed, on May 14, 2023, Athenex, Inc. (the “Company”) together with certain of its subsidiaries (collectively, the “Debtors”) filed voluntary petitions for relief under Chapter 11 of the United States Bankruptcy Code with the United States Bankruptcy Court for the Southern District of Texas (the “Bankruptcy Court”). 2.01 To the extent required by Item 2.01 of Form 8-K, the information contained in Item 1.03 of this Current Report on Form 8-K is incorporated herein by reference. 3.03 To the extent required by Item 3.03 of Form 8-K, the information contained in Item 1.03 of this Current Report on Form 8-K is incorporated herein by reference. 5.02 To the extent required by Item 5.02 of Form 8-K, the information contained in Item 1.03 of this Current Report on Form 8-K is incorporated herein by reference. | d516484d8k.htm |
| 2023-08-17 | 8-K | 2023-08-11 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On August 11, 2023, Joe Annoni, Chief Financial Officer and Assistant Chief Restructuring Officer of Athenex, Inc. (the “Company”), and the Company mutually agreed that Mr. Annoni would separate from the Company effective immediately. | d523220d8k.htm |
| 2023-07-18 | 8-K | 2023-06-06 | 1.01 Entry into a Material Definitive Agreement; 1.02 Termination of a Material Definitive Agreement; 1.03 Bankruptcy or Receivership; 2.01 Completion of Acquisition or Disposition of Assets; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into a Material Definitive Agreement. 1.02 To the extent required by Item 1.02 of Form 8-K, the information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 1.03 To the extent required by Item 1.03 of Form 8-K, the information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 2.01 To the extent required by Item 2.01 of Form 8-K, the information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 5.02 On June 30, 2023, the Company terminated the employment of Jeffrey Yordon and Daniel Lang in connection with the Chapter 11 Case. | d520119d8k.htm |
| 2023-05-22 | 8-K | 2023-05-09 | 1.03 Bankruptcy or Receivership; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement; 2.05 Costs Associated with Exit or Disposal Activities; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.03 On May 14, 2023 (the “Petition Date”), Athenex, Inc. (the “Company”) together with certain of its subsidiaries (collectively, the “Debtors”) filed voluntary petitions for relief under Chapter 11 of the United States Bankruptcy Code (the “Code”) with the United States Bankruptcy Court for the Southern District of Texas (the “Bankruptcy Court”). 2.04 • the revenue interest purchase agreement, dated as of June 21, 2022, between the Company and ATNX SPV, LLC, on the one hand, and affiliates of Sagard Healthcare Partners and funds managed by Oaktree Capital Management, L.P., on the other hand. 2.05 On May 9, 2023, the Company’s board of directors (“Board”) authorized the termination of approximately 140 employees, or approximately 67% of the Company’s current employees, effective May 12, 2023 and restructured the Company’s operations to maintain a transition team of approximately 68 employees to continue operations in connection with the Chapter 11 Case. 3.01 On May 16, 2023, the Company received written notice from the Listing Qualifications Department of the Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, as a result of the Chapter 11 Case and in accordance with Nasdaq Listing Rules 5101, 5110(b), and IM-5101-1, the Nasdaq staff determined that the Company’s common stock will be delisted from Nasdaq. 5.02 On May 9, 2023, the Board terminated Salary Deduction and Stock Purchase Agreements between the Company and certain of its directors and executive officers effective immediately. | d470846d8k.htm |
| 2023-05-03 | 8-K | 2023-04-27 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On April 27, 2023, Athenex, Inc. (the “Company”) received a letter from the Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock for the last 30 consecutive business days and its number of publicly held shares, the Company no longer meets Nasdaq Listing Rule 5450(b)(3)(C), which requires listed companies to maintain a minimum market value of publicly held shares of at least $15 million. | d238325d8k.htm |
| 2023-04-25 | 8-K | 2023-04-19 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 19, 2023, Athenex, Inc. (the “Company”) appointed Nick Campbell as Chief Restructuring Officer. | d493743d8k.htm |
| 2023-03-31 | 8-K | 2023-03-30 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On March 30, 2023, the Board of Directors of Athenex, Inc. (the “Company”) approved an amendment to the Company’s Amended and Restated Bylaws (the “Amendment”). | d489703d8k.htm |
| 2023-03-20 | 8-K | 2023-03-20 | 2.02 Results of Operations and Financial Condition | 2.02 On March 20, 2023, Athenex, Inc. (the “Company”) issued a press release to report financial results for the fiscal year ended December 31, 2022. | d488463d8k.htm |
| 2023-02-14 | 8-K | 2023-02-13 | 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events | 3.03 To the extent required by Item 3.03 of Form 8-K, the information contained in Item 5.03 of this Current Report on Form 8-K is incorporated herein by reference. 5.03 On February 13, 2023, Athenex, Inc. (the “Company”) filed a Certificate of Amendment (the “Amendment”) to the Company’s Amended and Restated Certificate of Incorporation, with the Delaware Secretary of State to implement a reverse stock split of the Company’s issued shares of common stock at a ratio of 1-for-20, effective at 12:01 a.m. 8.01 On February 14, 2023, the Company issued a press release announcing the Reverse Stock Split. | d429422d8k.htm |
| 2022-11-22 | 8-K | 2022-11-22 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 5.07 Submission of Matters to a Vote of Security Holders; 8.01 Other Events | 5.02 On November 22, 2022, at a special meeting of stockholders (the “Special Meeting”) of Athenex, Inc. (the “Company”), the stockholders of the Company approved the Second Amendment (the “Plan Amendment”) to the Company’s Amended and Restated 2017 Omnibus Incentive Plan (the “Plan”) to increase the number of shares of common stock reserved for issuance thereunder by 12,500,000 shares and extend the term of the Plan until November 22, 2032. 5.03 At the Special Meeting, the stockholders approved an amendment (the “Certificate of Amendment”) to the Company’s Amended and Restated Certificate of Incorporation (“Charter”) to increase the number of authorized shares of common stock, from 250,000,000 shares to 500,000,000 shares. 5.07 The proposals set forth below, each as further described in the Proxy Statement, were submitted to the Company’s stockholders at the Special Meeting. 8.01 Also on November 22, 2022, the Company issued a press release announcing preliminary results of the Special Meeting. | d368440d8k.htm |
| 2022-11-21 | 8-K | 2022-11-16 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets | 1.01 Entry into a Material Definitive Agreement. 2.01 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. | d370439d8k.htm |
| 2022-11-03 | 8-K | 2022-11-03 | 2.02 Results of Operations and Financial Condition; 7.01 Regulation FD Disclosure | 2.02 On November 3, 2022, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended September 30, 2022. 7.01 Also on November 3, 2022, the Company issued a press release announcing the success of its appeal to The Nasdaq Stock Market Hearings Panel to extend the Company’s time to demonstrate compliance with the minimum bid price requirement for continued listing. | d411567d8k.htm |
| 2022-10-03 | 8-K | 2022-09-30 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d248517d8k.htm |
| 2022-09-16 | 8-K | 2022-09-15 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 As previously reported, on March 18, 2022, Athenex, Inc. (the “Company”) received a letter from the Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock for the last 30 consecutive business days, the Company no longer met Nasdaq Listing Rule 5550(a)(2) (the “Rule”), which requires listed companies to maintain a minimum bid price of at least $1 per share. | d351917d8k.htm |
| 2022-08-18 | 8-K | 2022-08-14 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement | 1.01 Entry into a Material Definitive Agreement. 2.03 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 2.04 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. | d386166d8k.htm |
| 2022-08-15 | 8-K | 2022-08-10 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On August 10, 2022, the Company issued a press release announcing the launch of the Offering, and on August 11, 2022, the Company issued a press release announcing the pricing of the Offering. | d333866d8k.htm |
| 2022-07-28 | 8-K | 2022-07-28 | 2.02 Results of Operations and Financial Condition | 2.02 On July 28, 2022, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended June 30, 2022. | d386991d8k.htm |
| 2022-07-11 | 8-K | 2022-07-07 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d321754d8k.htm |
| 2022-07-01 | 8-K | 2022-06-29 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement | 1.01 Entry into a Material Definitive Agreement. 2.01 On June 29, 2022, the Company completed the sale of revenues from U.S. and European royalty and milestone interests in Klisyri (tirbanibulin) to affiliates of Sagard Healthcare Partners and funds managed by Oaktree for an aggregate purchase price of $85.0 million pursuant to a Revenue Interest Purchase Agreement, as previously described in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on June 24, 2022. 2.03 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 2.04 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. | d373589d8k.htm |
| 2022-06-24 | 8-K | 2022-06-21 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement | 1.01 Entry into a Material Definitive Agreement. 2.03 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 2.04 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. | d368317d8k.htm |
| 2022-06-14 | 8-K | 2022-06-10 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 The proposals set forth below, each as further described in Athenex Inc.’s (the “Company”) definitive proxy statement for the 2022 Annual Meeting of Stockholders (the “Annual Meeting”) filed with the Securities and Exchange Commission on April 28, 2022 (the “Proxy Statement”), were submitted to the Company’s stockholders at the Annual Meeting held on June 10, 2022. | d124933d8k.htm |
| 2022-05-10 | 8-K | 2022-05-10 | 2.02 Results of Operations and Financial Condition | 2.02 On May 10, 2022, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended March 31, 2022. | d359177d8k.htm |
| 2022-04-15 | 8-K | 2022-04-13 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 13, 2022, Kim Campbell informed the Board of Directors of Athenex, Inc. (the “Company”) that she will not stand for re-election to the Board of Directors at the 2022 annual meeting of stockholders (the “Annual Meeting”) and will retire from the Board of Directors as of the conclusion of the Annual Meeting when her current term expires. | d293138d8k.htm |
| 2022-03-29 | 8-K | 2022-03-23 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 23, 2022, certain executive officers of Athenex, Inc. (the “Company”) entered into a Salary Deduction and Stock Purchase Agreement (the “Purchase Agreement”) with the Company. | d312567d8k.htm |
| 2022-03-24 | 8-K | 2022-03-18 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On March 18, 2022, Athenex, Inc. (the “Company”) received a letter from the Listing Qualifications Staff of The Nasdaq Stock Market LLC indicating that, based upon the closing bid price of the Company’s common stock for the last 30 consecutive business days, the Company no longer meets Nasdaq Listing Rule 5450(a)(1), which requires listed companies to maintain a minimum bid price of at least $1 per share. | d280055d8k.htm |
| 2022-03-16 | 8-K | 2022-03-16 | 2.02 Results of Operations and Financial Condition; 8.01 Other Events | 2.02 On March 16, 2022, Athenex, Inc. (the “Company,” “we,” “our,” and “us”) issued a press release to report financial results for the quarter and year ended December 31, 2021. 8.01 In connection with the filing of a post-effective amendment to its Registration Statement on Form S-3 (File No. 333-241665), the Company is providing (i) its consolidated financial statements as of December 31, 2021 and 2020 and for the fiscal years ended December 31, 2021, 2020 and 2019, including the report of the Company’s independent registered public accounting firm, (ii) a revised description of its business, (iii) Management’s Discussion and Analysis and Results of Operations corresponding to the financial statements, and (iv) disclosure relating to its controls and procedures, in Exhibit 99.2. | d262074d8k.htm |
| 2022-02-22 | 8-K | 2022-02-18 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 18, 2022, the board of directors of Athenex, Inc. (the “Company”) appointed Joe Annoni to serve as Chief Financial Officer of the Company. | d307171d8k.htm |
| 2022-02-15 | 8-K | 2022-02-14 | 2.01 Completion of Acquisition or Disposition of Assets | 2.01 On February 14, 2022, Athenex, Inc. (the “Company”) completed the sale of its leasehold interest in a manufacturing facility in Dunkirk, New York and certain other related assets (the “Dunkirk Facility”), as previously described in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on January 12, 2022. | d216998d8k.htm |
| 2022-01-21 | 8-K | 2022-01-19 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement | 1.01 Entry into a Material Definitive Agreement. 2.03 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 2.04 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. | d300364d8k.htm |
| 2022-01-12 | 8-K | 2022-01-07 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d292590d8k.htm |
| 2021-12-28 | 8-K | 2021-12-21 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 21, 2021, Simon Pedder notified Athenex, Inc. (the “Company”) that he will be resigning from his position as Chief Business and Strategy Officer, Proprietary Products, effective as of December 31, 2021. | d207360d8k.htm |
| 2021-11-04 | 8-K | 2021-11-04 | 2.02 Results of Operations and Financial Condition | 2.02 On November 4, 2021, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended September 30, 2021. | d253795d8k.htm |
| 2021-10-12 | 8-K | 2021-10-11 | 7.01 Regulation FD Disclosure | 7.01 On October 11, 2021, Athenex, Inc. (the “Company”) issued a press release to announce that after holding a Type A meeting with the U.S. Food and Drug Administration regarding the New Drug Application for oral paclitaxel and encequidar (“Oral Paclitaxel”) in metastatic breast cancer, the Company has determined to redeploy its resources to focus on other ongoing studies of Oral Paclitaxel. | d411035d8k.htm |
| 2021-09-03 | 8-K | 2021-09-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 As previously disclosed, Randoll Sze resigned as the Company’s Chief Financial Officer and its principal financial and accounting officer effective August 13, 2021. | d224171d8k.htm |
| 2021-08-20 | 8-K | 2021-08-20 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d190005d8k.htm |
| 2021-08-05 | 8-K | 2021-07-30 | 2.02 Results of Operations and Financial Condition; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 2.02 On August 5, 2021, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended June 30, 2021. 5.02 On July 30, 2021, Randoll Sze, the Company’s Chief Financial Officer and the principal financial and accounting officer, notified the Company of his decision to step down effective August 13, 2021. | d37907d8k.htm |
| 2021-07-20 | 8-K/A | 2021-05-04 | 9.01 Financial Statements and Exhibits | 9.01 (a) Financial Statements of Business Acquired. | atnx-8ka_20210504.htm |
| 2021-06-23 | 8-K | 2021-06-18 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.07 Submission of Matters to a Vote of Security Holders | 5.02 On June 18, 2021, at the 2021 Annual Meeting of Stockholders (the “Annual Meeting”) of Athenex, Inc. (the “Company”), the stockholders of the Company approved an amendment (the “Plan Amendment”) to the Company’s Amended and Restated 2017 Omnibus Incentive Plan (the “Plan”) to, among other things, increase the number of shares of common stock reserved for issuance thereunder by 5,000,000 shares. 5.07 The proposals set forth below, each as further described in the Proxy Statement, were submitted to the Company’s stockholders at the Annual Meeting. | d151604d8k.htm |
| 2021-05-06 | 8-K | 2021-05-06 | 2.02 Results of Operations and Financial Condition | 2.02 On May 6, 2021, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended March 31, 2021. | d396107d8k.htm |
| 2021-05-05 | 8-K | 2021-05-04 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 2.01 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 3.02 The information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference. 8.01 On May 4, 2021, the Company issued a press release announcing the Merger. | d266152d8k.htm |
| 2021-03-01 | 8-K | 2021-03-01 | 2.02 Results of Operations and Financial Condition; 7.01 Regulation FD Disclosure | 2.02 On March 1, 2021, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter and year ended December 31, 2020. 7.01 On March 1, 2021, the Company issued a press release announcing the receipt of a complete response letter from the U.S. Food and Drug Administration (FDA) for the Company’s New Drug Application (NDA) for oral paclitaxel plus encequidar for the treatment of metastatic breast cancer. | d137872d8k.htm |
| 2021-02-18 | 8-K | 2021-02-15 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 7.01 On February 18, 2021, the Company issued a press release to announce the entry into the Second Amendment. | d136617d8k.htm |
| 2020-11-05 | 8-K | 2020-11-05 | 2.02 Results of Operations and Financial Condition | 2.02 On November 5, 2020, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended September 30, 2020. | d73250d8k.htm |
| 2020-09-10 | 8-K | 2020-09-09 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On September 8, 2020, the Company issued a press release announcing the launch of the Offering. | d78675d8k.htm |
| 2020-09-08 | 8-K | 2020-09-08 | 7.01 Regulation FD Disclosure | 7.01 On September 8, 2020, Athenex, Inc. (the “Company”) issued a press release announcing the inclusion of oral paclitaxel plus encequidar (“Oral Paclitaxel”) in the I-SPY 2 TRIAL sponsored by Quantum Leap Healthcare Collaborative. | d21816d8k.htm |
| 2020-08-06 | 8-K | 2020-07-31 | 1.01 Entry into a Material Definitive Agreement; 2.02 Results of Operations and Financial Condition; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 2.02 On August 6, 2020, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended June 30, 2020. 2.03 The information provided in Item 1.01 of this report is incorporated by reference under this Item 2.03. 3.02 The information contained in Item 1.01 of this report with respect to the Warrant is incorporated by reference under this Item 3.02. 5.02 On July 31, 2020, John Tiong Lu Koh informed the Chairman of the Board of Directors of the Company that he would be resigning from the Board of Directors, effective August 3, 2020. 7.01 On August 4, 2020, the Company issued a press release announcing the appointment of Dr. Spiegel and the resignation of Mr. Koh. | d95827d8k.htm |
| 2020-06-22 | 8-K | 2020-06-19 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 2.03 The information provided in Item 1.01 of this report is incorporated by reference under this Item 2.03. 3.02 The information contained in Item 1.01 of this report with respect to the Warrants is incorporated by reference under this Item 3.02. | d944864d8k.htm |
| 2020-06-10 | 8-K | 2020-06-05 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.07 Submission of Matters to a Vote of Security Holders | 5.02 On June 5, 2020, at the 2020 Annual Meeting of Stockholders (the “Annual Meeting”) of Athenex, Inc. (the “Company”), the stockholders of the Company approved an amendment and restatement of the Company’s 2017 Omnibus Incentive Plan (the “Amended Plan”) to, among other things, increase the number of shares of common stock reserved for issuance thereunder by 3,500,000 shares. 5.07 The proposals set forth below, each as further described in the Proxy Statement, were submitted to the Company’s stockholders at the Annual Meeting. | d940919d8k.htm |
| 2020-05-07 | 8-K | 2020-05-07 | 2.02 Results of Operations and Financial Condition | 2.02 On May 7, 2020, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended March 31, 2020. | d792028d8k.htm |
| 2020-03-30 | 8-K | 2020-03-24 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 24, 2020, Athenex, Inc. (the “Company”) entered into an arrangement with Dr. Johnson Y.N. Lau, the Company’s president and chief executive officer, whereby Dr. Lau elected to receive options to purchase shares of the Company’s common stock in lieu of a portion of his remaining base salary for fiscal 2020. | d912402d8k.htm |
| 2020-02-27 | 8-K | 2020-02-27 | 2.02 Results of Operations and Financial Condition | 2.02 On February 27, 2020, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter and year ended December 31, 2019. | d893981d8k.htm |
| 2019-12-16 | 8-K | 2019-12-12 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 7.01 On December 16, 2019, Athenex, Inc. issued a press release to announce the entry into the License Agreement. | d849966d8k.htm |
| 2019-12-13 | 8-K | 2019-12-13 | 7.01 Regulation FD Disclosure | 7.01 Investors should note that the Company announces material information in Securities and Exchange Commission (“SEC”) filings and press releases. | d837714d8k.htm |
| 2019-12-13 | 8-K | 2019-12-13 | 7.01 Regulation FD Disclosure | 7.01 On December 13, 2019, Athenex, Inc. (the “Company”) issued a press release to announce that the results of its Phase III clinical trial of oral paclitaxel and encequidar in the treatment of metastatic breast cancer will be presented today at the 2019 San Antonio Breast Cancer Symposium. | d838422d8k.htm |
| 2019-12-05 | 8-K | 2019-12-05 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 3.02 At the closing of the Private Placement, the Company will issue shares of its common stock to the Investors in reliance on the exemption from registration under the Securities Act provided by Section 4(a)(2) of the Securities Act and Rule 506 of Regulation D promulgated thereunder. 8.01 On December 5, 2019, the Company issued a press release announcing the Private Placement. | d838256d8k.htm |
| 2019-11-07 | 8-K | 2019-11-07 | 2.02 Results of Operations and Financial Condition | 2.02 On November 7, 2019, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended September 30, 2019. | d826280d8k.htm |
| 2019-09-09 | 8-K | 2019-09-09 | 7.01 Regulation FD Disclosure | 7.01 On September 9, 2019, Athenex, Inc. (the “Company”) made available the corporate presentation that the Company will utilize from time to time in meetings with investors. | d750667d8k.htm |
| 2019-08-07 | 8-K | 2019-08-07 | 2.02 Results of Operations and Financial Condition; 7.01 Regulation FD Disclosure | 2.02 On August 7, 2019, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended June 30, 2019. 7.01 Also on August 7, 2019, the Company issued a press release to report positive results from its Phase 3 study of oral paclitaxel and encequidar in patients with metastatic breast cancer. | d769339d8k.htm |
| 2019-08-02 | 8-K | 2019-08-01 | 8.01 Other Events | 8.01 On August 2, 2019, Athenex, Inc. (the “Company”) issued a press release to announce that the U.S. District Court for the District of Columbia issued a decision on August 1, 2019 finding against the Company on the merits of the Company’s motion for summary judgment in its lawsuit against the U.S. Food and Drug Administration (“FDA”), the U.S. Department of Health and Human Services and against certain governmental officials seeking to vacate the FDA’s decision that vasopressin is not a bulk drug substance for which there is a clinical need for outsourcing facility compounding under Section of the Federal Food, Drug and Cosmetic Act. | d796799d8k.htm |
| 2019-06-13 | 8-K | 2019-06-11 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 At the 2019 Annual Meeting of Stockholders of Athenex, Inc. (the “Company”) held on June 11, 2019, the stockholders voted on the matters described below. | d765636d8k.htm |
| 2019-06-06 | 8-K | 2019-06-06 | 8.01 Other Events | 8.01 On June 6, 2019, Athenex, Inc. (the “Company”) issued a press release to announce preliminary positive clinical activity signals in a Phase I clinical trial of KX2-391, or tirbanibulin, for the treatment of psoriasis. | d759653d8k.htm |
| 2019-05-09 | 8-K | 2019-05-09 | 2.02 Results of Operations and Financial Condition | 2.02 On May 9, 2019, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended March 31, 2019. | d743415d8k.htm |
| 2019-05-06 | 8-K | 2019-05-03 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 3.02 At the closing of the Private Placement, the Company will issue shares of its common stock to the Investors in reliance on the exemption from registration under the Securities Act provided by Section 4(a)(2) of the Securities Act and Rule 506 of Regulation D promulgated thereunder. 8.01 On May 6, 2019, the Company issued a press release announcing the Private Placement. | d734852d8k.htm |
| 2019-04-02 | 8-K | 2019-04-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 1, 2019, the Board of Directors of Athenex, Inc. (the “Company”) appointed a new member to its Board of Directors, John Tiong Lu Koh, effective as of the same date. | d650929d8k.htm |
| 2019-03-29 | 8-K | 2019-03-25 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 29, 2019, the Board of Directors of Athenex, Inc. (the “Company”) appointed Jordan Kanfer to its Board of Directors, effective as of April 1, 2019. | d721773d8k.htm |
| 2019-03-21 | 8-K | 2019-03-18 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 18, 2019, the Board of Directors of Athenex, Inc. (the “Company”) appointed two new members to the Board of Directors, Dr. John Moore Vierling and Stephanie Davis, to become effective April 1, 2019. | d723405d8k.htm |
| 2019-03-11 | 8-K | 2019-03-11 | 2.02 Results of Operations and Financial Condition | 2.02 On March 11, 2019, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter and year ended December 31, 2018. | d721547d8k.htm |
| 2019-03-07 | 8-K | 2019-03-01 | 1.02 Termination of a Material Definitive Agreement; 8.01 Other Events | 1.02 Effective as of March 6, 2019, Athenex, Inc. (the “Company”) terminated the license agreement, dated as of December 30, 2018, between the Company as licensor and one of the Company’s subsidiaries, Chongqing Taihao Pharmaceutical Co Ltd, as licensee and the sublicense agreement, dated as of December 30, 2018, between Chongqing Taihao Pharmaceutical Co Ltd, as sublicensor and Chongqing Jingdong Junzhuo Pharmaceutical Co., Ltd as sublicensee. 8.01 On March 1, 2019, the U.S. Food and Drug Administration (the “FDA”) announced that it had determined not to list vasopressin on its list of bulk drug substances for which there is a clinical need (“503B Bulks List”) pursuant to Section 503B of the Federal Food, Drug and Cosmetic Act (the “FDCA”). | d715147d8k.htm |
| 2019-03-06 | 8-K | 2019-02-28 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 28, 2019, the Board of Directors of Athenex, Inc. (the “Company”) approved the compensation of its executive officers for the year ending December 31, 2019, including their annual salaries, potential cash bonus awards and equity-based compensation pursuant to the Company’s 2017 Omnibus Incentive Plan. | d715939d8k.htm |
| 2019-03-04 | 8-K | 2019-03-02 | 7.01 Regulation FD Disclosure | 7.01 Investors should note that the Company announces material information in Securities and Exchange Commission (“SEC”) filings and press releases. | d695659d8k.htm |
| 2019-01-03 | 8-K | 2019-01-03 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On January 3, 2019, we issued a press release announcing the execution of the license arrangements described in Item 1.01 above. | d681746d8k.htm |
| 2018-12-17 | 8-K | 2018-12-17 | 7.01 Regulation FD Disclosure | 7.01 Athenex, Inc. (the “Company”) is scheduled to host an R&D Day on December 17, 2018 from 12:00-3:00 p.m. | d666603d8k.htm |
| 2018-12-04 | 8-K | 2018-11-27 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On November 29, 2018, the Company issued a press release to report entering into the Amendment. | d668768d8k.htm |
| 2018-11-14 | 8-K | 2018-11-14 | 2.02 Results of Operations and Financial Condition | 2.02 On November 14, 2018, Athenex, Inc. (the “Company”) issued a press release to report financial results for the quarter ended September 30, 2018. | d653035d8k.htm |
| 2018-10-22 | 8-K | 2018-10-22 | 7.01 Regulation FD Disclosure | 7.01 On October 22, 2018, Athenex, Inc. (the “Company”) issued a press release to announce that the Company presented encouraging clinical trial efficacy and safety results of Oraxol in the treatment of metastatic breast cancer at the European Society for Medical Oncology Congress on October 21, 2018 in Munich, Germany. | d637241d8k.htm |
| 2018-08-20 | 8-K | 2018-08-20 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On August 20, 2018, Athenex, Inc. (the “Company”) appointed Randoll Sze as Chief Financial Officer of the Company. | d614033d8k.htm |
| 2018-08-17 | 8-K | 2018-08-13 | 7.01 Regulation FD Disclosure | 7.01 On August 13, 2018, Athenex, Inc. (the “Company”) issued a press release to announce the launch of compounded Vasopressin Injection in ready-to-use premix IV bags. | d606556d8k.htm |
| 2018-08-14 | 8-K | 2018-08-14 | 2.02 Results of Operations and Financial Condition | 2.02 On August 14, 2018, Athenex, Inc. (the “Company”) issued a press release to report financial results for the second quarter ended June 30, 2018. | d581728d8k.htm |
| 2018-07-02 | 8-K | 2018-06-29 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 2.03 The information provided in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 2.03. 8.01 On July 1, 2018, we issued a press release announcing the execution of the three new license agreements as well as a series of private equity and debt financing transactions reported under Item 1.01 above. | d653771d8k.htm |
| 2018-06-15 | 8-K | 2018-06-11 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On June 11, 2018, the board of directors (the “Board”) of Athenex, Inc. (the “Company”) appointed Benson Kwan Hung Tsang to fill the vacancy on the Board that will be created following James Zukin’s departure, which becomes effective on July 1, 2018. | d609660d8k.htm |
| 2018-06-14 | 8-K | 2018-06-12 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 Athenex, Inc. (the “Company”) held its 2018 annual meeting of stockholders on June 12, 2018. | d597805d8k.htm |
| 2018-05-14 | 8-K | 2018-05-14 | 2.02 Results of Operations and Financial Condition | 2.02 On May 14, 2018, Athenex, Inc. issued a press release announcing its financial results for the first quarter ended March 31, 2018. | d554976d8k.htm |
| 2018-04-30 | 8-K | 2018-04-25 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (b) On April 25, 2018, James Zukin informed the Board of Directors of Athenex, Inc. (the “Company”) that he is resigning from the Board effective July 1, 2018. | d557815d8k.htm |
| 2018-03-26 | 8-K | 2018-03-26 | 2.02 Results of Operations and Financial Condition | 2.02 On March 26, 2018, Athenex, Inc. issued a press release announcing its financial results for the fiscal fourth quarter and year ended December 31, 2017. | d493276d8k.htm |
| 2018-03-16 | 8-K | 2018-03-13 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (b) On March 13, 2018, Antony Leung informed the Board of Directors of Athenex, Inc. (the “Company”) that he is resigning from the Board effective immediately. | d512886d8k.htm |
| 2018-01-18 | 8-K | 2018-01-16 | 8.01 Other Events | 8.01 On January 16, 2018, Athenex, Inc. (the “Company”) issued a press release announcing that the Company received positive feedback from the United States Food and Drug Administration on the design of the currently ongoing Phase III Clinical Trial for Oraxol. | d527039d8k.htm |
| 2018-01-05 | 8-K | 2017-12-29 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d509558d8k.htm |
| 2017-12-29 | 8-K | 2017-12-27 | 8.01 Other Events | 8.01 On December 27, 2017, Athenex, Inc. (the “Company”) issued a press release announcing that the UK Medicines and Healthcare Products Regulatory Agency granted a Promising Innovative Medicine designation for Oraxol in the treatment of paclitaxel-responsive cancers. | d511571d8k.htm |
| 2017-12-15 | 8-K | 2017-12-11 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d500481d8k.htm |
| 2017-12-01 | 8-K | 2017-12-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 (b)(c) On December 1, 2017, Athenex, Inc. (the “Company”) announced that J. Nick Riehle, its Chief Financial Officer, is retiring effective December 31, 2017. | d475422d8k.htm |
| 2017-11-09 | 8-K | 2017-11-09 | 2.02 Results of Operations and Financial Condition | 2.02 On November 9, 2017, Athenex, Inc. (the “Company”) issued a press release announcing its financial results for the third quarter ended September 30, 2017. | d252565d8k.htm |
| 2017-10-05 | 8-K | 2017-09-29 | 3.02 Unregistered Sales of Equity Securities | 3.02 On September 29, 2017, Hanmi Pharmaceutical Co., Ltd. (“Hanmi”) converted its Athenex, Inc. (the “Company”) $7 million convertible note into 795,455 shares of the Company’s common stock, based on the agreed 20% discount to the Company’s IPO price. | d468584d8k.htm |
| 2017-10-05 | 8-K | 2017-10-05 | 8.01 Other Events | 8.01 On October 5, 2017, the Company issued a press release announcing that the planned interim analysis of the Oraxol 001 Phase III Clinical Trial has been conducted and reviewed by an independent Drug Safety Monitoring Board. | d464049d8k.htm |
| 2017-09-08 | 8-K | 2017-09-04 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | d446975d8k.htm |
| 2017-08-14 | 8-K | 2017-08-14 | 2.02 Results of Operations and Financial Condition | 2.02 On August 14, 2017, Athenex, Inc. issued a press release announcing its financial results for the second quarter ended June 30, 2017. | d295451d8k.htm |
| 2017-07-05 | 8-K | 2017-06-29 | 8.01 Other Events | 8.01 On July 5, 2017, Athenex, Inc. (the “Company”) issued a press release announcing that its Chinese subsidiary submitted an Investigational New Drug (IND) application to the Chinese FDA for Oraxol, an oral formulation of Paclitaxel and that, on June 29, 2017, the application was accepted by the Chinese FDA for review. | d412497d8k.htm |
| 2017-06-22 | 8-K | 2017-06-19 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events | 5.03 On June 19, 2017, the amended and restated certificate of incorporation of Athenex, Inc., a Delaware corporation (the “Company”), filed with the Secretary of State of the State of Delaware (the “Restated Certificate”), and the Company’s amended and restated bylaws (the “Restated Bylaws”) became effective in connection with the closing of the initial public offering of common stock, par value $0.001 per share, of the Company (“Common Stock”) on June 19, 2017. 8.01 On June 19, 2017, the Company issued a press release announcing the closing of its initial public offering of 6,900,000 shares of Common Stock, including 900,000 shares issued and sold pursuant to the exercise in full by the underwriters of their option to purchase such additional shares, at an initial public offering price of $11.00 per share, before deducting the underwriting discounts and commissions. | d389640d8k.htm |