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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Athenex Inc
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| October 18, 2023 |
US04685N2027 / ATHENEX INC / PERCEPTIVE ADVISORS LLC - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Athenex, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 04685N 202 (CUSIP Number) Alexander Rakitin Perceptive Advisors LLC 51 Astor Place, 10th Floor New York, NY 10003 (646) 205-5340 (Name, Address and Teleph |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File N |
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| August 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| July 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 23, 2023 |
NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC File Number: 001-38112 CUSIP Number: 04685N202 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11- |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 22, 2023 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Reaches Agreement With Lenders to Pursue Expedited Sales Process To Best Facilitate, Company Voluntarily Files Chapter 11 Proceedings Company Has Sufficient Resources to Support Athenex Pharma Solutions Operations and Fulfill APD Customer Orders During Process BUFFALO, N.Y., May 14, 2023 – Athenex, Inc., (NASDAQ: ATNX) (“Athenex” or the “Company”), a global bioph |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-3 |
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| April 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 19, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 31, 2023 |
Amendment No. 1 to the Amended and Restated Bylaws of Athenex, Inc. EX-3.1 Exhibit 3.1 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED BYLAWS OF ATHENEX, INC. The undersigned, in his capacity as the Chairman and Chief Executive Officer of Athenex, Inc., a Delaware corporation (the “Corporation”), hereby certifies on behalf of the Corporation that the following amendment to the Amended and Restated Bylaws of the Corporation (the “Bylaws”) was duly adopted by the Board |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 20, 2023 |
Exhibit 10.13 ATHENEX, INC. AMENDED AND RESTATED 2017 OMNIBUS INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD (OFFICER) Grantee’s Name and Address: [Participant Name:First Name Last Name] [Address:Linear] You (the “Grantee”) have been granted an Award (the “Award”) of Restricted Stock Units (the “RSUs”), subject to the terms and conditions of this Notice of Restricted Stock Unit Award (the “N |
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| March 20, 2023 |
Power of Attorney (included on signature page). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38112 ATHENEX, INC. (Ex |
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| March 20, 2023 |
Exhibit 10.14 ATHENEX, INC. AMENDED AND RESTATED 2017 OMNIBUS INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD (NON-EMPLOYEE DIRECTOR) Grantee’s Name and Address: [Participant Name:First Name Last Name] [Address:Linear] You (the “Grantee”) have been granted an Award (the “Award”) of Restricted Stock Units (the “RSUs”), subject to the terms and conditions of this Notice of Restricted Stock Unit |
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| March 20, 2023 |
EX-99.1 Exhibit 99.1 Athenex Provides Fourth Quarter and Full Year 2022 Financial Results and Business Update Exploring a range of strategic alternatives Revenues from product sales from continued operations increased +27% Y/Y in 4Q 2022 and +33% for full year 2022 Net Loss attributable to Athenex was $34.2 million, or $4.28 per diluted share in 4Q2022, compared to $104.4 million, or $19.08 per di |
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| March 20, 2023 |
Exhibit 21.1 Subsidiaries of Athenex, Inc. Subsidiary Companies Jurisdiction of Incorporation Athenex API Limited Hong Kong Athenex Belgium Belgium ATHENEX CIDAL HOLDINGS I, S.A. Panama ATHENEX CIDAL HOLDINGS II, S.A. Panama ATHENEX CIDAL PANAMA, S.A. Panama Athenex Cidal Colombia S.A.S. Columbia Athenex Cidal Argentina S.A.U. Argentina Athenex Cidal Chile SpA Chile Athenex Cidal Costa Rica S.A. C |
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| March 20, 2023 |
Specimen Common Stock Certificate. Exhibit 4.1 |
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| March 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 20, 2023 |
Exhibit 10.67 SUPPLY AGREEMENT THIS SUPPLY AGREEMENT (this “Agreement”) is entered into as of November 16, 2022, (the “Effective Date”), by and between Athenex, Inc., a Delaware corporation with an address at 1001 Main Street, Suite 600, Buffalo, New York 14203 (“Athenex”), and Chongqing Taihao Pharmaceutical Co., Ltd. (重庆泰濠制药有限公司) with an address at No. 105 Erlang Chuangye Road, Jiulongpo Distric |
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| March 20, 2023 |
Exhibit 4.7 DESCRIPTION OF SECURITIES The following is a brief description of the common stock, par value $0.001 per share (the “common stock”), of Athenex, Inc. (the “Company,” “we,” “our” or “us”), which is the only security of the Company registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended. This description is not complete and is qualified by reference to our am |
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| February 14, 2023 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ATHENEX, INC. Athenex, Inc. , a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Athenex, Inc. 2. This Certificate of Amendment (the “Certificate of A |
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| February 14, 2023 |
Athenex Announces a Reverse Stock Split EX-99.1 Exhibit 99.1 Athenex Announces a Reverse Stock Split BUFFALO, N.Y., February 14, 2023 (GLOBE NEWSWIRE) – Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, today announced that it will effect a 1-for-20 reverse stock split of its issued common |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2023 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 14, 2023 |
ATNX / Athenex Inc / LAU JOHNSON YIU NAM - SC 13D/A Activist Investment SC 13D/A 1 d466120dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) ATHENEX, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) Johnson Y.N. Lau c/o Athenex, Inc. 1001 Main Street, Suite 600 Buffalo, New York 14203 T |
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| February 2, 2023 |
ATNX / Athenex Inc / PERCEPTIVE ADVISORS LLC - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment )* Athenex, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 04685N 103 (CUSIP Number) Alexander Rakitin Perceptive Advisors LLC 51 Astor Place, 10th Floor New York, NY 10003 (646) 205-5340 (Name, Address and T |
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| February 2, 2023 |
EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT The persons below hereby agree that the Schedule 13D to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13D, shall be filed jointly on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Dated: February 2, 2023 |
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| December 9, 2022 |
As filed with the Securities and Exchange Commission on December 9, 2022 S-8 As filed with the Securities and Exchange Commission on December 9, 2022 Registration No. |
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| December 9, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Athenex, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule (1) Amount Registered (2) Proposed Maximum Offering Price Per Unit (1) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, par value $ |
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| November 22, 2022 |
Second Amendment to the Athenex, Inc. Amended and Restated 2017 Omnibus Incentive Plan EX-10.1 Exhibit 10.1 SECOND AMENDMENT TO THE ATHENEX, INC. AMENDED AND RESTATED 2017 OMNIBUS INCENTIVE PLAN The Athenex, Inc. Amended and Restated 2017 Omnibus Incentive Plan (the “Plan”), is hereby amended as follows, effective November 22, 2022: 1. Section 3(a) of the Plan is hereby amended and restated in its entirety to provide as follows: “(a) Subject to the provisions of Section 10 below, th |
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| November 22, 2022 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ATHENEX, INC. Athenex, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The name of the Corporation is Athenex, Inc. 2. This Certificate of Amendment (the “Certificate of Am |
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| November 22, 2022 |
Athenex Announces Positive Results of Special Stockholder Meeting EX-99.1 Exhibit 99.1 Athenex Announces Positive Results of Special Stockholder Meeting • Shareholders voted in favor of all three proposals submitted before the Special Stockholder Meeting BUFFALO, N.Y., Nov. 22, 2022 (GLOBE NEWSWIRE) – Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatme |
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| November 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 21, 2022 |
Athenex Announces Closing of the Sale of its China API Business EX-99.1 Exhibit 99.1 Athenex Announces Closing of the Sale of its China API Business Buffalo, N.Y., November 21, 2022 (GLOBE NEWSWIRE) – Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, today announced the closing of the sale of its equity interests |
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| November 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| November 21, 2022 |
EX-10.1 Exhibit 10.1 WAIVER TO CREDIT AND GUARANTY AGREEMENT THIS WAIVER TO CREDIT AND GUARANTY AGREEMENT (this “Waiver”), dated as of November 1, 2022, is made by and among ATHENEX, INC., a Delaware corporation (as applicable, the “Borrower”), the Lenders party hereto and OAKTREE FUND ADMINISTRATION, LLC, as administrative agent for the Lenders (in such capacity, the “Administrative Agent”). WHER |
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| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 3, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHEN |
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| November 3, 2022 |
Athenex Announces Receipt of Positive Nasdaq Listing Determination EX-99.2 Exhibit 99.2 Athenex Announces Receipt of Positive Nasdaq Listing Determination Nasdaq Hearing Panel grants continued listing of Athenex and extension to regain compliance with the minimum bid price requirement Buffalo, N.Y., November 3, 2022 (GLOBE NEWSWIRE) – Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization o |
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| November 3, 2022 |
Exhibit 4.2 WARRANT AGENCY AGREEMENT This Warrant Agency Agreement (?Warrant Agreement?) is made as of August 15, 2022, by and among Athenex, Inc., a Delaware corporation (the ?Company?), and Computershare Inc., a Delaware corporation (?Computershare?), and its affiliate Computershare Trust Company, N.A. a federally chartered trust company (collectively with Computershare, the ?Warrant Agent?). WH |
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| November 3, 2022 |
Athenex Provides Third Quarter 2022 Financial Results and Business Update EX-99.1 Exhibit 99.1 Athenex Provides Third Quarter 2022 Financial Results and Business Update • Bolstered balance sheet with $30 million public offering of common stock and warrants • Nasdaq Hearing Panel grants Athenex’s request for continued listing • Athenex is in the final stages of closing the sale of the China API operations • I-SPY 2 study with Oral Paclitaxel expected to be completed by y |
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| November 3, 2022 |
Exhibit 10.5 September 30, 2022 TiHe Capital (Beijing) Co. Ltd.???????????????????? 4th Floor, Building 3, Huasheng Science Park, Lane 1999, Zhangheng Road, Pudong New Area, Shanghai, China ????????????1999??????3??4? Attn: Jiao Wang?? Email: [email protected] Re: Extension of Longstop Date Dear Mr. Yan Zhou: Reference is made to that certain Equity Purchase Agreement dated as of July 7, |
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| November 3, 2022 |
Form of Warrant to Purchase Common Stock dated August 15, 2022. Exhibit 4.1 FORM OF COMMON STOCK PURCHASE WARRANT Athenex, Inc. Warrant number: [ ] Warrant Shares: [ ] Issue Date: August 15, 2022 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, [ ] or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date h |
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| October 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| October 11, 2022 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. |
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| October 3, 2022 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 30, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File N |
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| September 28, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| September 16, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File N |
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| August 18, 2022 |
Exhibit 10.1 This LIMITED WAIVER UNDER REVENUE INTEREST PURCHASE AGREEMENT (this ?Waiver?) is made and entered into as of August 14, 2022 (referred to herein as the ?Effective Date?), by and among ATNX SPV, LLC, a Delaware limited liability corporation (?Seller?), Athenex, Inc., a Delaware corporation (?Parent?), Oaktree-TCDRS Strategic Credit, LLC, a Delaware limited liability company (?Oaktree T |
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| August 18, 2022 |
Exhibit 10.2 SIXTH AMENDMENT TO CREDIT AND GUARANTY AGREEMENT THIS SIXTH AMENDMENT TO CREDIT AND GUARANTY AGREEMENT (this ?Amendment?), dated as of August 14, 2022, is made by and among ATHENEX, INC., a Delaware corporation (as applicable, the ?Borrower?), the Lenders party hereto and OAKTREE FUND ADMINISTRATION, LLC, as administrative agent for the Lenders (in such capacity, the ?Administrative A |
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| August 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 15, 2022 |
Athenex, Inc. Announces Pricing of $30 Million Public Offering of Common Stock and Warrants Exhibit 99.2 Athenex, Inc. Announces Pricing of $30 Million Public Offering of Common Stock and Warrants BUFFALO, N.Y., August 11, 2022 (GLOBE NEWSWIRE) ? Athenex, Inc. (?Athenex?) (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, today announced the pricing of its |
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| August 15, 2022 |
Underwriting Agreement, dated August 10, 2022, by and between Athenex, Inc. and SVB Securities LLC. Exhibit 10.1 Execution Version UNDERWRITING AGREEMENT ATHENEX, INC. 35,333,334 Shares of Common Stock Pre-Funded Warrants to Purchase 4,666,666 Shares of Common Stock Common Warrants to Purchase 40,000,000 Shares of Common Stock Underwriting Agreement August 10, 2022 SVB SECURITIES LLC As Underwriter c/o SVB Securities LLC 1301 Avenue of the Americas, 12th Floor New York, New York 10019 Ladies and |
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| August 15, 2022 |
Form of Pre-Funded Warrant dated August 15, 2022. Exhibit 10.2 Form of Pre-Funded Warrant PRE-FUNDED COMMON STOCK PURCHASE WARRANT Athenex, Inc. Warrant number: Warrant Shares: Issue Date: [], 2022 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time |
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| August 15, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 10, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 15, 2022 |
Athenex, Inc. Announces Proposed Underwritten Public Offering of Common Stock and Warrants Exhibit 99.1 Athenex, Inc. Announces Proposed Underwritten Public Offering of Common Stock and Warrants BUFFALO, N.Y., August 10, 2022 (GLOBE NEWSWIRE) ? Athenex, Inc. (?Athenex?) (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, today announced that it intends to |
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| August 12, 2022 |
Exhibit 107 Calculation of Filing Fee Tables 424(b)(5) (Form Type) ATHENEX, INC. (Exact name of registrant as specified in its charter) Table 1 - Newly Registered and Carry Forward Securities Security Type Security Class Title(1) Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees |
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| August 12, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-258185 Prospectus Supplement (To Prospectus dated August 5, 2021) 35,333,334 Shares of Common Stock Pre-Funded Warrants to Purchase up to 4,666,666 Shares of Common Stock Warrants to Purchase up to 40,000,000 Shares of Common Stock We are offering 35,333,334 shares of our common stock, par value $0.001 per share (the ?common s |
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| August 10, 2022 |
Subject to completion, dated August 10, 2022 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-258185 The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where |
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| July 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, I |
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| July 29, 2022 |
Exhibit 10.1 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) and is the type that the registrant treats as private or confidential. REVENUE INTEREST PURCHASE AGREEMENT by and among ATNX SPV, LLC, ATHENEX, INC., Oaktree-TCDRS Strategic Credit, LLC, Oaktree-Minn Strategic Credit, LLC, Oaktree-Forrest Multi-Strategy, LLC, |
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| July 29, 2022 |
FOURTH AMENDMENT TO CREDIT AND GUARANTY AGREEMENT, SECOND AMENDMENT TO THE WARRANTS AND PARTIAL RELEASE OF COLLATERAL THIS FOURTH AMENDMENT TO CREDIT AND GUARANTY AGREEMENT AND PARTIAL RELEASE OF COLLATERAL (this ?Amendment?), dated as of June 21, 2022, is made by and among ATHENEX, INC. |
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| July 29, 2022 |
Exhibit 10.3 FIFTH AMENDMENT TO CREDIT AND GUARANTY AGREEMENT THIS FIFTH AMENDMENT TO CREDIT AND GUARANTY AGREEMENT (this ?Amendment?), dated as of June 29, 2022, is made by and among ATHENEX, INC., a Delaware corporation (as applicable, the ?Borrower?), the Lenders party hereto and OAKTREE FUND ADMINISTRATION, LLC, as administrative agent for the Lenders (in such capacity, the ?Administrative Age |
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| July 29, 2022 |
EQUITY PURCHASE AGREEMENT among TiHe Capital (Beijing) Co. Ltd.????????????????????, ATHENEX API LIMITED, ATHENEX PHARMACEUTICALS (CHINA) LIMITED, POLYMED THERAPEUTICS, INC. and ATHENEX, INC. Dated July 7, 2022 71771674 100413305 IF "1" = "1" "4816-3409-0480 v.3" "" 4816-3409-0480 v.3 100413309 1004133011 1004133013 109756963 1097569611 1097569613 1097569622 DOCPROPERTY YCFooter \* MERGEFORMAT 109 |
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| July 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 28, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| July 28, 2022 |
Athenex Provides Second Quarter 2022 Financial Results and Business Update Exhibit 99.1 Athenex Provides Second Quarter 2022 Financial Results and Business Update ? Reports 2Q product sales of $25.8 million, up 26% year-over-year ? Raised $85 million in total transaction value in 2Q for total of $125 million in proceeds from sales of non-core assets in 1H 2022, and reduced Senior Credit Facility balance from $150 million to $57.5 million ? Cash used in operating activiti |
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| July 11, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 7, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 11, 2022 |
Exhibit 99.1 Athenex Announces Entry into Agreement to Sell its China API Business to TiHe Capital (Bejing) Co., Ltd. ? Expected sale proceeds of approximately $19.0 million ? Company continues to monetize non-core assets to extend cash runway ? Proceeds from the deal will be used to pay down debt and fund operations Buffalo, N.Y., July 11, 2022 (GLOBE NEWSWIRE) ? Athenex, Inc., (NASDAQ: ATNX), a |
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| July 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 24, 2022 |
Exhibit 99.1 Athenex Announces Sale of Revenues from U.S. and European Royalty and Milestone Interests in Klisyri? (tirbanibulin) to Sagard Healthcare Partners and Oaktree ? Company executes on strategy to extend cash runway by monetizing non-core assets ? Total transaction value of $85 million; at least $80 million to be used toward debt paydown and to fund operations Buffalo, N.Y., June 22, 2022 |
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| June 14, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 19, 2022 |
As filed with the Securities and Exchange Commission on May 19, 2022 As filed with the Securities and Exchange Commission on May 19, 2022 Registration No. |
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| May 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 10, 2022 |
Athenex Provides First Quarter 2022 Financial Results and Business Update Exhibit 99.1 Athenex Provides First Quarter 2022 Financial Results and Business Update ? Reports 1Q product sales of $29.0M, up 42% year-over-year ? Encouraging interim update from ANCHOR study of KUR-502 presented at ASTCT with 60% overall response rate (ORR) and 6-month complete response (CR) rate of 29% in the NHL cohort ? Abstract for KUR-501 in GINAKIT2 study accepted at ASGCT; 25% (3/12) ORR |
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| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, |
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| April 28, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| April 18, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| April 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 13, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 29, 2022 |
Form of Salary Deduction and Stock Purchase Agreement Exhibit 10.1 FORM OF SALARY DEDUCTION & STOCK PURCHASE AGREEMENT This Salary Deduction & Stock Purchase Agreement (this ?Agreement?) is entered into as of [ ], by and between Athenex, Inc., a Delaware corporation (the ?Company?), and [ ], the [ ] of the Company (the ?Executive?). RECITALS WHEREAS, the Executive desires to purchase shares of the Company?s common stock (?Shares?) directly from the C |
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| March 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 23, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 24, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 22, 2022 |
As filed with the Securities and Exchange Commission on March 22, 2022 Table of Contents As filed with the Securities and Exchange Commission on March 22, 2022 Registration No. |
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| March 16, 2022 |
Exhibit 99.1 Athenex Provides Fourth Quarter and Full Year 2021 Financial Results and Provides Business Update Announces Strategic Pivot to Focus on Cell Therapy Programs Receives FDA Clearance for IND to Expand CD19 CAR-NKT ANCHOR to a Multi-center Study Implementing Significant Cost Reduction Plan Targeting >50% Reduction in Operating Expenses Plans to Extend Cash Runway in 2022 Through Monetiza |
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| March 16, 2022 |
Exhibit 10.61 THIRD AMENDMENT TO CREDIT AND GUARANTY AGREEMENT AND FIRST AMENDMENT TO THE WARRANTS THIS THIRD AMENDMENT TO CREDIT AND GUARANTY AGREEMENT AND FIRST AMENDMENT TO THE WARRANTS (this ?Amendment?), dated as of January 19, 2022, is made by and among ATHENEX, INC., a Delaware corporation (as applicable, the ?Borrower? and ?Issuer?), the Lenders and warrant holders party hereto and OAKTREE |
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| March 16, 2022 |
As filed with the Securities and Exchange Commission on March 16, 2022 Table of Contents As filed with the Securities and Exchange Commission on March 16, 2022 Registration No. |
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| March 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the ?scal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission ?le number 001-38112 ATHENEX, INC. (Ex |
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| March 16, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| March 16, 2022 |
Exhibit 21.1 Subsidiaries of Athenex, Inc. Subsidiary Companies Jurisdiction of Incorporation Athenex API Limited Hong Kong Athenex Belgium Belgium Athenex Biomedical International Holdings Limited Hong Kong ATHENEX CIDAL HOLDINGS I, S.A. Panama ATHENEX CIDAL HOLDINGS II, S.A. Panama ATHENEX CIDAL PANAMA, S.A. Panama Athenex Cidal Columbia S.A.S. Columbia Athenex Cidal Argentina S.A.U. Argentina A |
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| March 16, 2022 |
Exhibit 10.71 Certain information in this exhibit is marked [*] has been excluded from the exhibit because it is both (i) not material, (ii) is the type that the company treats as private or confidential, and (iii) would be competitively harmful if publicly disclosed. EXECUTION VERSION Confidential SECOND AMENDED AND RESTATED CO-DEVELOPMENT AGREEMENT BY AND BETWEEN BAYLOR COLLEGE OF MEDICINE AND C |
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| March 16, 2022 |
Exhibit 10.52 SUPPLEMENTAL AGREEMENT TO THE LICENSE AGREEMENT DATED DECEMBER 12, 2019 March 31, 2020 Guangzhou Xiangxue Pharmaceutical Co., Ltd. 2 Jinfengyuan Road Guangzhou, China Attn: Lun Zeng Chongqing Taihao Pharmaceutical Co. Ltd. C-5 # 105 C-5, Er Lang Chuang Ye Road Jiulongo District, Chongqing, China Attn: Dr. William Wei Zuo Dear Dr. Lun Zeng: Reference is made to that certain License Ag |
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| March 16, 2022 |
Exhibit 10.54 THIRD SUPPLEMENTAL AGREEMENT AND AMENDMENT TO TO LICENSE AGREEMENT DATED DECEMBER 12, 2019 THIS THIRD SUPPLEMENTAL AGREEMENT AND AMENDMENT (this ?Supplement?) is made and entered into effective as of November 8, 2021 (the ?Effective Date?), by and among ATHENEX, INC., a corporation organized and existing under the laws of the State of Delaware USA and having its principal office at C |
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| March 16, 2022 |
Exhibit 4.2 THIRD AMENDMENT TO CREDIT AND GUARANTY AGREEMENT AND FIRST AMENDMENT TO THE WARRANTS THIS THIRD AMENDMENT TO CREDIT AND GUARANTY AGREEMENT AND FIRST AMENDMENT TO THE WARRANTS (this ?Amendment?), dated as of January 19, 2022, is made by and among ATHENEX, INC., a Delaware corporation (as applicable, the ?Borrower? and ?Issuer?), the Lenders and warrant holders party hereto and OAKTREE F |
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| March 16, 2022 |
Exhibit 10.60 SECOND AMENDMENT TO CREDIT AND GUARANTY AGREEMENT THIS SECOND AMENDMENT TO CREDIT AND GUARANTY AGREEMENT (this ?Amendment?), dated as of December 14, 2021, is made by and among ATHENEX, INC., a Delaware corporation (the ?Borrower?), the Lenders party hereto and OAKTREE FUND ADMINISTRATION, LLC, as administrative agent for the Lenders (in such capacity, the ?Administrative Agent?). WH |
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| March 16, 2022 |
Exhibit 99.2 Business of Athenex, Inc. Overview Athenex, Inc., together with its subsidiaries (?Athenex,? the ?Company,? ?we,? ?us? or ?our?), is a global biopharmaceutical company dedicated to becoming a leader in the discovery, development and commercialization of next generation drugs for the treatment of cancer. Our mission is to improve the lives of cancer patients by creating more effective, |
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| March 16, 2022 |
Exhibit 10.72 Certain information in this exhibit is marked [*] has been excluded from the exhibit because it is both (i) not material, (ii) is the type that the company treats as private or confidential, and (iii) would be competitively harmful if publicly disclosed. EXECUTION VERSION cONFIDENTIAL SECOND AMENDED AND RESTATED EXCLUSIVE LICENSE AND OPTION AGREEMENT BY AND BETWEEN BAYLOR COLLEGE OF |
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| February 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 22, 2022 |
Employment Agreement between the Company and Joe Annoni, effective as of February 18, 2022 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement?) is made and entered into as of February 18, 2022 (the ?Effective Date?) by and between ATHENEX, INC., a corporation existing under the laws of Delaware having its principal office at Conventus Building, 1001 Main Street, Suite 600, Buffalo, New York 14203 (the ?Company?), and Joe Annoni, an individual residing at ##### |
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| February 22, 2022 |
Athenex Announces Appointment of Chief Financial Officer Exhibit 99.1 Athenex Announces Appointment of Chief Financial Officer Buffalo, N.Y., February 22, 2022 (GLOBE NEWSWIRE) ? Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, announced today that Mr. Joe Annoni will join Athenex as its new Chief Financi |
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| February 15, 2022 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 15, 2022 |
Athenex Announces Completion of Sale of Dunkirk Manufacturing Facility Exhibit 99.1 Athenex Announces Completion of Sale of Dunkirk Manufacturing Facility Buffalo, N.Y., FEBRUARY 15, 2022 (GLOBE NEWSWIRE) ? Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, announced today the close of the sale of its leasehold interest |
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| February 14, 2022 |
EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. |
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| February 14, 2022 |
ATNX / Athenex Inc / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Athenex, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| January 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Num |
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| January 12, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2022 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 12, 2022 |
Athenex Announces Agreement with ImmunityBio Regarding Dunkirk Manufacturing Facility Exhibit 99.1 Athenex Announces Agreement with ImmunityBio Regarding Dunkirk Manufacturing Facility Buffalo, N.Y., JANUARY 12, 2022 (GLOBE NEWSWIRE) ? Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditions, announced today that it has entered into a definit |
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| January 12, 2022 |
Purchase Agreement, by and between Athenex, Inc. and ImmunityBio, Inc. dated January 7, 2022 Exhibit 10.1 PURCHASE AGREEMENT BY AND BETWEEN ATHENEX, INC. AND IMMUNITYBIO, INC. DATED JANUARY 7, 2022 TABLE OF CONTENTS ARTICLE I DEFINITIONS 2 1.1 Definitions 2 1.2 Other Defined Terms 5 ARTICLE II SALE AND TRANSFER OF ASSETS 6 2.1 Purchased Assets 6 2.2 Excluded Assets 7 2.3 Nonassignable Assets 7 2.4 Liabilities 8 ARTICLE III PURCHASE PRICE 8 3.1 The Purchase Price 8 3.2 Payment at Closing 9 |
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| December 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| December 28, 2021 |
Consulting Agreement, dated as of January 1, 2022 between Athenex, Inc. and Simon Pedder EX-10.1 2 d207360dex101.htm EX-10.1 Exhibit 10.1 FORM Document Number: Athenex Document Revision Date: ATX-GBL-FORM-0016 20FEB2020 Athenex, Inc. Consulting Agreement This Consulting Agreement (the “Agreement”) is made and entered into this 1st day of January 2022 by and between Athenex, Inc., a Delaware corporation with its principal office at Conventus Building, 1001 Main Street, Suite 600, Buffa |
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| November 4, 2021 |
EX-99.1 2 d253795dex991.htm EX-99.1 Exhibit 99.1 Athenex Provides Third Quarter 2021 Corporate and Financial Update Held FDA Type A Meeting for oral paclitaxel in metastatic breast cancer Klisyri® launched in Europe ANCHOR Phase 1 interim results accepted for poster presentation at 2021 ASH 3Q product sales were $27.0M, up 9% year-over-year Company now expects full year product sales revenue in 20 |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHEN |
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| November 4, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Num |
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| October 12, 2021 |
EX-99.1 2 d411035dex991.htm EX-99.1 Exhibit 99.1 Athenex Provides Update from FDA Type A Meeting Regarding Oral Paclitaxel + Encequidar in Metastatic Breast Cancer BUFFALO, N.Y., Oct. 11, 2021 (GLOBE NEWSWIRE) – Athenex (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapies for the treatment of cancer and related conditi |
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| October 12, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Num |
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| September 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 1, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 3, 2021 |
Consulting Agreement, dated September 1, 2021, between Athenex, Inc. and Randoll Sze Exhibit 10.1 FORM Document Number: Effective Date: ATX-GBL-FORM-0016 17APR2019 Athenex, Inc. Consulting Agreement This Consulting Agreement (the ?Agreement?) is made and entered into this 1st day of September 2021 by and between Athenex, Inc., a Delaware corporation with its principal office at Conventus Building, 1001 Main Street, Suite 600, Buffalo, New York 14203 (?Athenex?) and RANDOLL SZE (?C |
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| August 20, 2021 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-258185 Prospectus Supplement (To Prospectus dated August 5, 2021) $100,000,000 Common Stock We have entered into a sales agreement with SVB Leerink, LLC (“SVB Leerink”), relating to the shares of our common stock offered by this prospectus supplement and the accompanying prospectus. In accordance with the terms of the sa |
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| August 20, 2021 |
EX-1.1 2 d190005dex11.htm EX-1.1 Exhibit 1.1 ATHENEX, INC. Shares of Common Stock ($0.001 par value per share) SALES AGREEMENT August 20, 2021 SVB LEERINK LLC 1301 Avenue of the Americas, 12th Floor New York, New York 10019 Ladies and Gentlemen: Athenex, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with SVB Leerink LLC (the “Agent”), as follows: 1. Issuan |
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| August 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| August 16, 2021 |
ATHENEX, INC. COMMON STOCK PREFERRED STOCK SELLING STOCKHOLDERS 15,601,667 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-258185 PROSPECTUS ATHENEX, INC. $300,000,000 COMMON STOCK PREFERRED STOCK WARRANTS UNITS SELLING STOCKHOLDERS 15,601,667 Shares of Common Stock We may offer and sell up to $300,000,000 in the aggregate of the securities identified above from time to time in one or more offerings. This prospectus provides you with a general des |
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| August 10, 2021 |
Athenex, Inc. 1001 Main Street, Suite 600 Buffalo, NY 14203 Athenex, Inc. 1001 Main Street, Suite 600 Buffalo, NY 14203 August 10, 2021 VIA EDGAR Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Athenex, Inc. Registration Statement on Form S-3 (File No. 333-258185) Ladies and Gentlemen: In accordance with Rule 461 of Regulation C promulgated under the Securities Act of 1933, as amended, A |
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| August 5, 2021 |
August 5, 2021 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, DC 20549 Attn: Gary Guttenberg Re: Athenex, Inc. Registration Statement on Form S-3 Filed July 27, 2021 File No. 333-258185 Dear Mssrs. Guttenberg and Edwards: We hereby submit the responses of Athenex, Inc. (the ?Company?) to the comments of the staff (the |
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| August 5, 2021 |
EX-10.6 4 atnx-ex106260.htm EX-10.6 Exhibit 10.6 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. EXECUTION COPYCONFIDENTIAL AMENDED AND RESTATED EXCLUSIVE LICENSE AND OPTION AGREEMENT BY AND BETWEEN BAYLOR COLLEGE OF MEDICINE AND KUUR THERAPEUTICS LIMITED (f/k/a CELL |
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| August 5, 2021 |
EX-10.4 2 atnx-ex10447.htm EX-10.4 Execution Version Exhibit 10.4 FIRST AMENDMENT AND LIMITED WAIVER TO CREDIT AND GUARANTY AGREEMENT THIS FIRST AMENDMENT AND LIMITED WAIVER TO CREDIT AND GUARANTY AGREEMENT (this “Amendment”), dated as of June 3, 2021 (the “Amendment Effective Date”), is made by and among ATHENEX, INC., a Delaware corporation (the “Borrower”), the Lenders party hereto and OAKTREE |
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| August 5, 2021 |
Exhibit 99.1 Athenex Provides Second Quarter 2021 Corporate and Financial Update Updated investors on FDA Type A Meeting for oral paclitaxel Klisyri? approved by the European Commission in July 2021 KUR-501 GD2 CAR-NKT Phase 1 data in neuroblastoma presented at ASGCT 2021 Abstract for oral paclitaxel + pembrolizumab Phase 1 combination study accepted for ESMO Congress 2021 Management to host confe |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, I |
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| August 5, 2021 |
Exhibit 10.5 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. EXECUTION COPY CONFIDENTIAL AMENDED AND RESTATED CO-DEVELOPMENT AGREEMENT BY AND BETWEEN BAYLOR COLLEGE OF MEDICINE AND KUUR THERAPEUTICS LIMITED (f/k/a CELL MEDICA, LTD.) Original Effective Date: APRIL 29, |
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| August 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 5, 2021 |
As filed with the Securities and Exchange Commission on August 5, 2021. Table of Contents As filed with the Securities and Exchange Commission on August 5, 2021. |
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| July 27, 2021 |
As filed with the Securities and Exchange Commission on July 26, 2021. Table of Contents As filed with the Securities and Exchange Commission on July 26, 2021. |
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| July 27, 2021 |
As filed with the Securities and Exchange Commission on July 27, 2021 As filed with the Securities and Exchange Commission on July 27, 2021 Registration No. |
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| July 27, 2021 |
First Amendment to Athenex, Inc. Amended and Restated 2017 Omnibus Incentive Plan EX-4.6 2 d184703dex46.htm EX-4.6 Exhibit 4.6 FIRST AMENDMENT TO THE ATHENEX, INC. AMENDED AND RESTATED 2017 OMNIBUS INCENTIVE PLAN The Athenex, Inc. Amended and Restated 2017 Omnibus Incentive Plan (the “Plan”), is hereby amended as follows, effective June 18, 2021: 1. Section 3(a) of the Plan is hereby amended and restated in its entirety to provide as follows: “(a) Subject to the provisions of S |
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| July 20, 2021 |
Unaudited Pro Forma Condensed Combined Financial Information Exhibit 99.2 Unaudited Pro Forma Condensed Combined Financial Information On May 4, 2021, Athenex, Inc. and subsidiaries (the ?Company? or ?Athenex?) entered into an Agreement and Plan of Merger (the ?Merger Agreement? or the ?Acquisition?) with Kuur Therapeutics, Inc., a Delaware corporation (?Kuur?) whereby it acquired 100% of the outstanding shares of Kuur. Kuur is a leading developer of off-th |
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| July 20, 2021 |
KUUR THERAPEUTICS INC. Table of Contents EX-99.1 3 atnx-ex99118.htm EX-99.1 Exhibit 99.1 KUUR THERAPEUTICS INC. Table of Contents Page Report of Independent Auditors………………………………………………………………………………. F-1 Consolidated Balance Sheets F-2 Consolidated Statements of Operations and Comprehensive Loss F-3 Consolidated Statements of Changes in Convertible Preferred Stock and Stockholders’ Deficit F-4 Consolidated Statements of Cash Flows F-5 Notes |
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| July 20, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 6, 2021 |
Exhibit 10.2 SECOND AMENDMENT TO LICENSE AGREEMENT This SECOND AMENDMENT TO LICENSE AGREEMENT (this ?Amendment?) is made and entered into as of this 15th day of February, 2021 (?Effective Date?) by and between Athenex, Inc., formerly known as Kinex Pharmaceuticals, LLC, a corporation organized and existing under the laws of the state of Delaware, USA, with a principal place of business at 1001 Mai |
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| May 6, 2021 |
Quarterly Report - ATNX - 10-Q - 20210331 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, |
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| May 6, 2021 |
EX-99.1 2 d396107dex991.htm EX-99.1 Exhibit 99.1 Athenex Provides First Quarter 2021 Corporate and Financial Update Plan to Request Type A Meeting with the FDA for Oral Paclitaxel by the End of May Klisyri® Launched in the U.S. in February 2021 Acquired Kuur Therapeutics to Expand Cell Therapy Development with Off-the-Shelf Engineered CAR-NKT Platform in May 2021 Management to Host Conference Call |
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| May 6, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 5, 2021 |
EX-99.1 5 d266152dex991.htm EX-99.1 Exhibit 99.1 Athenex to Acquire Kuur Therapeutics to Expand Cell Therapy Development with Off-the-Shelf Engineered CAR-NKT Platform • Transformative, leading allogeneic NKT cell platform technology expands Athenex’s cell therapy development capability • Platform has broad applications based on transducing NKT cells with chimeric antigen receptors (CARs) and T ce |
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| May 5, 2021 |
EX-10.3 4 d266152dex103.htm EX-10.3 Exhibit 10.3 May 4, 2021 Athenex, Inc. Conventus Building 1001 Main Street, Suite 600 Buffalo, NY 14203 Attention: Teresa Bair, Vice President, Legal Affairs & Corporate Development Re: Lock-up Agreement Ladies and Gentlemen: This Lock-up Agreement (this “Lock-Up Agreement”) is executed in connection with the Agreement and Plan of Merger the “Merger Agreement”) |
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| May 5, 2021 |
EX-10.1 2 d266152dex101.htm EX-10.1 Exhibit 10.1 AGREEMENT AND PLAN OF MERGER by and among ATHENEX, INC., ATHENEX PHARMACEUTICALS LLC, KUUR THERAPEUTICS INC., THE MERGER STOCKHOLDERS, THE KEY EMPLOYEES and THE INDEPENDENT COMPANY DIRECTORS, each in their individual capacity, and SHAREHOLDER REPRESENTATIVE SERVICES LLC, as the Representative DATED MAY 4, 2021 1 1. DEFINITIONS AND CONSTRUCTION 2 1.1 |
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| May 5, 2021 |
EX-10.2 3 d266152dex102.htm EX-10.2 Exhibit 10.2 May 4, 2021 Athenex, Inc. Conventus Building 1001 Main Street, Suite 600 Buffalo, NY 14203 Attention: Teresa Bair, Vice President, Legal Affairs & Corporate Development Re: Lock-up Agreement Ladies and Gentlemen: This Lock-up Agreement (this “Lock-Up Agreement”) is executed in connection with the Agreement and Plan of Merger the “Merger Agreement”) |
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| April 29, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement. |
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| March 1, 2021 |
Exhibit 21.1 Subsidiaries of Athenex, Inc. Subsidiary Companies Jurisdiction of Incorporation Athenex API Limited Hong Kong Athenex Belgium Belgium Athenex Biomedical International Holdings Limited Hong Kong ATHENEX CIDAL HOLDINGS I, S.A. Panama ATHENEX CIDAL HOLDINGS II, S.A. Panama ATHENEX CIDAL PANAMA, S.A. Panama Athenex Cidal Columbia S.A.S. Columbia Athenex Cidal Argentina S.A.U. Argentina A |
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| March 1, 2021 |
Annual Report - ATNX - 10-K - 20201231 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38112 ATHENEX, INC. (Ex |
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| March 1, 2021 |
Exhibit 10.52 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. MANUFACTURE AND SUPPLY AGREEMENT MANUFACTURE AND SUPPLY AGREEMENT (?Agreement?) is entered into as of January 15, 2021, (?Effective Date?) between INGENUS PHARMACEUTICALS LLC, a Delaware, USA limited liabi |
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| March 1, 2021 |
Athenex Provides Fourth Quarter and Full Year 2020 Corporate and Financial Update EX-99.1 Exhibit 99.1 Athenex Provides Fourth Quarter and Full Year 2020 Corporate and Financial Update • Receipt of Complete Response Letter from the FDA for Oral Paclitaxel Plus Encequidar • Klisyri® (tirbanibulin) received FDA approval and launched commercially on February 18, 2021 • The New England Journal of Medicine published Phase III trial data on the efficacy and safety of Klisyri® • Produ |
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| March 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 1, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| March 1, 2021 |
Exhibit 10.51 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. CO-MARKETING, MANUFACTURE AND SUPPLY AGREEMENT THIS CO-MARKETING, MANUFACTURE AND SUPPLY AGREEMENT (?Agreement?) is entered into as of November 2, 2020, (?Effective Date?) between INGENUS PHARMACEUTICALS L |
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| March 1, 2021 |
Exhibit 99.2 Athenex Receives FDA Complete Response Letter for Oral Paclitaxel Plus Encequidar for the Treatment of Metastatic Breast Cancer ? Conference call and webcast scheduled for today at 8:00 a.m. ET Buffalo, N.Y., March 1, 2021 (GLOBE NEWSWIRE) ? Athenex, Inc., (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development, and commercialization of novel therapi |
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| March 1, 2021 |
EX-10.50 3 atnx-ex1050525.htm EX-10.50 Exhibit 10.50 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. ASSET PURCHASE AND SALE AGREEMENT between ATHENEX PHARMACEUTICAL DIVISION, LLC and INGENUS PHARMACEUTICALS, LLC THIS ASSET PURCHASE AGREEMENT (this "Agreement") is ma |
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| March 1, 2021 |
Form of Restricted Stock Award Agreement pursuant to the 2017 Omnibus Incentive Plan. Exhibit 10.7 Award Number: ATHENEX, INC. 2017 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK AWARD AGREEMENT 1.Issuance of Shares. Athenex, Inc., a Delaware corporation (the ?Company?), hereby issues to the Grantee (the ?Grantee?) named in the Notice of Restricted Stock Award (the ?Notice?), the Total Number of Shares of Common Stock Awarded set forth in the Notice (the ?Shares?), subject to the Notice, |
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| February 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2021 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| February 18, 2021 |
Athenex Announces U.S. Launch of Klisyri® and Licensing of Additional Territories for Tirbanibulin EX-99.1 2 d136617dex991.htm EX-99.1 Exhibit 99.1 Athenex Announces U.S. Launch of Klisyri® and Licensing of Additional Territories for Tirbanibulin • Athenex Announces Licensing of Additional Territories for the Development and Commercialization of Tirbanibulin in Japan and South Korea. • PharmaEssentia Expands Tirbanibulin Partnership by Adding Japan and South Korea to Already Licensed Territorie |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Athenex, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 16, 2021 |
EX-99.1 2 d115692dex991.htm EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 16, 2 |
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| February 12, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Athenex, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to whic |
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| November 5, 2020 |
Exhibit 10.3 INTERCREDITOR AGREEMENT THIS INTERCREDITOR AGREEMENT is made as of August 4, 2020 (this “Agreement”), by and among oaktree fund administration, LLC, in its capacity as administrative agent for the holders of the First Lien Obligations (as defined herein) (in such capacity, the “First Lien Agent”), and Sagard Healthcare Royalty Partners, LP (“SHRP”), and as acknowledged by ATHENEX, INC |
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| November 5, 2020 |
Quarterly Report - ATNX - 10Q - 20200930 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, INC. |
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| November 5, 2020 |
EX-99.1 2 d73250dex991.htm EX-99.1 Exhibit 99.1 Athenex, Inc. Reports Third Quarter Ended September 30, 2020 Financial Results and Provides Corporate Update FDA accepted and granted priority review of NDA for Oral Paclitaxel in metastatic breast cancer PDUFA dates for tirbanibulin ointment and Oral Paclitaxel set for December 30, 2020 and February 28, 2021, respectively Four abstracts featuring Or |
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| November 5, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 5, 2020 |
EX-10.2 2 atnx-ex102237.htm EX-10.2 Exhibit 10.2 SECURITY AGREEMENT by and between ATHENEX, INC., a Delaware corporation and SAGARD HEALTHCARE ROYALTY PARTNERS, LP, a Cayman Islands exempted limited partnership Dated as of August 4, 2020 TABLE OF CONTENTS Page Section 1 Definitions; Interpretation 3 Section 2 Security Interest 4 Section 3 Perfection and Priority 5 Section 4 Representations and War |
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| November 5, 2020 |
Exhibit 10.4 ASSIGNMENT AND ASSUMPTION This Assignment and Assumption (this “Assignment and Assumption”) is dated as of the Effective Date set forth below and is entered into by and between Oaktree-TCDRS Strategic Credit, LLC; Exelon Strategic Credit Holdings LLC; Oaktree-NGP Strategic Credit, LLC; Oaktree-Minn Strategic Credit, LLC; Oaktree-Forrest Multi-Strategy, LLC - Series A; Oaktree-TBMR Str |
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| October 9, 2020 |
ATNX / Athenex Inc. / LAU JOHNSON YIU NAM - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) ATHENEX, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) Johnson Y.N. Lau c/o Athenex, Inc. 1001 Main Street, Suite 600 Buffalo, New York 14203 Telephone: (716) 898-8625 Teres |
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| September 10, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| September 10, 2020 |
Table of Contents CALCULATION OF REGISTRATION FEE TITLE OF EACH CLASS OF SECURITIES TO BE REGISTERED AMOUNT TO BE REGISTERED(1) PROPOSED MAXIMUM OFFERING PRICE PER SHARE PROPOSED MAXIMUM AGGREGATE OFFERING PRICE AMOUNT OF REGISTRATION FEE(2) Common Stock, $0. |
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| September 10, 2020 |
Athenex, Inc. Announces Proposed Public Offering of Common Stock EX-99.1 4 d78675dex991.htm EX-99.1 Exhibit 99.1 Athenex, Inc. Announces Proposed Public Offering of Common Stock BUFFALO, N.Y., September 8, 2020 — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer, today announced that it intends to offer and sell, subject to market conditio |
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| September 10, 2020 |
EX-10.1 Exhibit 10.1 UNDERWRITING AGREEMENT ATHENEX, INC. 10,000,000 Shares of Common Stock Underwriting Agreement September 9, 2020 SVB LEERINK LLC RBC CAPITAL MARKETS, LLC EVERCORE GROUP L.L.C. As Representatives of the several Underwriters listed in Schedule 1 hereto c/o SVB Leerink LLC 1301 Avenue of the Americas, 12th Floor New York, New York 10019 c/o RBC Capital Markets, LLC 200 Vesey Stree |
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| September 10, 2020 |
Athenex, Inc. Announces Pricing of $110 Million Public Offering of Common Stock EX-99.2 Exhibit 99.2 Athenex, Inc. Announces Pricing of $110 Million Public Offering of Common Stock BUFFALO, N.Y., September 10, 2020 — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer, today announced the pricing of a public offering of 10,000,000 shares of its common stoc |
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| September 8, 2020 |
EX-99.2 Exhibit 99.2 CONFERENCE CALL & WEBCAST: ORAL PACLITAXEL AND ENCEQUIDAR September 8, 2020 NASDAQ:ATNX www.athenex.comExhibit 99.2 CONFERENCE CALL & WEBCAST: ORAL PACLITAXEL AND ENCEQUIDAR September 8, 2020 NASDAQ:ATNX www.athenex.com Forward Looking Statements Except for historical information, all of the statements, expectations, and assumptions contained in this presentation constitute fo |
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| September 8, 2020 |
EX-99.1 Exhibit 99.1 Quantum Leap Healthcare Collaborative and Athenex Announce the Selection of Oral Paclitaxel plus Encequidar in Combination with dostarlimab, an anti-PD-1, in the I-SPY 2 TRIAL targeting Stage 2/3 HER2+ and HER2- Breast Cancers Athenex’s oral paclitaxel plus encequidar is being evaluated in combination with GSK’s dostarlimab in the neoadjuvant chemotherapy setting Company to ho |
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| September 8, 2020 |
Subject to completion, dated September 8, 2020 Form 424(b)(5) Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. |
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| September 8, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 8, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 6, 2020 |
Exhibit 10.5 SECOND SUPPLEMENTAL AGREEMENT TO LICENSE Agreement DATED DECEMBER 12, 2019 This SECOND SUPPLEMENTAL AGREEMENT (this “Supplement”) is made and entered into effective as of June 30, 2020 (the “Effective Date”), by and among ATHENEX, INC., a corporation organized and existing under the laws of the State of Delaware USA and having its principal office at Conventus Building, 1001 Main Stre |
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| August 6, 2020 |
Athenex Announces $50 Million Revenue Interest Financing with Sagard Healthcare Royalty Partners Exhibit 99.3 Athenex Announces $50 Million Revenue Interest Financing with Sagard Healthcare Royalty Partners BUFFALO, N.Y., August 6, 2020 (GLOBE NEWSWIRE) — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer and related conditions, today announced that it has entered into a |
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| August 6, 2020 |
Amended and Restated 2017 Omnibus Incentive Plan. Exhibit 10.4 ATHENEX, INC. AMENDED AND RESTATED 2017 OMNIBUS INCENTIVE PLAN 1.Purposes of the Plan. The purposes of this Plan are to attract and retain the best available personnel, to provide additional incentives to Employees, Directors and Consultants and to promote the success of the Company’s business. 2.Definitions. The following definitions shall apply as used herein and in the individual A |
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| August 6, 2020 |
S-8 As filed with the Securities and Exchange Commission on August 6, 2020 Registration No. |
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| August 6, 2020 |
Included on signature page of Form S-3 (File No. 333-241665) filed on August 6, 2020 Form S-3ASR Table of Contents As filed with the Securities and Exchange Commission on August 6, 2020 Registration No. |
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| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 6, 2020 |
Form of Warrant to Purchase Common Stock (Sagard and IMCO Investors). EX-4.1 Exhibit 4.1 WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITIES LAWS, PURSUANT TO REGISTRATION OR EXEMPTION THEREFR |
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| August 6, 2020 |
Exhibit 10.2 SECURITY AGREEMENT by and among ATHENEX, INC., a Delaware corporation (the “Borrower”) the Borrower’s Subsidiaries named in the signature pages hereto or having acceded hereto pursuant to Section 24 (each a “Subsidiary Guarantor” and, together with the Borrower, each a “Grantor” and, collectively, the “Grantors”) OAKTREE FUND ADMINISTRATION, LLC, as Administrative Agent for the Lender |
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| August 6, 2020 |
Exhibit 10.3 ATHENEX, INC. REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made as of June 19, 2020, by and among Athenex, Inc., a Delaware corporation (the “Company”), and the purchasers identified on Schedule A hereto (each, a “Purchaser” and collectively, the “Purchasers”) and such other Persons, if any, from time to time, that become a party hereto as hol |
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| August 6, 2020 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Reports Second Quarter Ended June 30, 2020 Financial Results and Provides Corporate Update Regulatory progress for Oral Paclitaxel and tirbanibulin ointment is on track Continued momentum in building commercialization infrastructure and supply chain for Oral Paclitaxel Announced two financing agreements for up to $275 million in aggregate Product sales guidance f |
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| August 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, INC. |
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| August 6, 2020 |
EX-99.2 Exhibit 99.2 Biopharmaceutical Leader Robert J. Spiegel, MD, FACP Appointed to the Athenex Board of Directors Pharmaceutical industry veteran with significant oncology clinical development expertise appointed to Board BUFFALO, N.Y., August 4, 2020 — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therap |
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| August 6, 2020 |
EX-10.1 Exhibit 10.1 REVENUE INTEREST FINANCING AGREEMENT Dated as of August 4, 2020 between ATHENEX, INC. and SAGARD HEALTHCARE ROYALTY PARTNERS, LP Table of Contents ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 ARTICLE II PURCHASE OF ASSIGNED INTERESTS 25 Section 2.01 Purchase. 25 Section 2.02 Payments by the Company. 25 Section 2.03 Effective Date; Effective Date Deliveries; Payment of P |
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| June 22, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 19, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 22, 2020 |
Form of Warrant to Purchase Common Stock EX-4.1 Exhibit 4.1 WARRANT NEITHER THIS WARRANT NOR THE SECURITIES ISSUABLE UPON ITS EXERCISE OR CONVERSION HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY APPLICABLE STATE SECURITIES LAW AND MAY NOT BE TRANSFERRED EXCEPT (I) IN ACCORDANCE WITH THE SECURITIES ACT OR SUCH APPLICABLE STATE SECURITIES LAWS, PURSUANT TO REGISTRATION OR EXEMPTION THEREFR |
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| June 22, 2020 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION CREDIT AGREEMENT AND GUARANTY dated as of June 19, 2020 by and among ATHENEX, INC., as the Borrower, THE SUBSIDIARY GUARANTORS FROM TIME TO TIME PARTY HERETO, as the Guarantors, THE LENDERS FROM TIME TO TIME PARTY HERETO as the Lenders, and OAKTREE FUND ADMINISTRATION, LLC, as the Administrative Agent U.S. $225,000,000 TABLE OF CONTENTS SECTION 1. DEFINITIONS |
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| June 10, 2020 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission Fil |
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| May 7, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 7, 2020 |
EX-10.13 4 atnx-ex1013207.htm EX-10.13 Exhibit 10.13 Executed FOIA CONFIDENTIAL TREATMENT REQUESTED Confidential Materials omitted and filed separate with the Securities and Exchange Commission Triple asterisks denote omissions LICENSE AGREEMENT by and between KINEX PHARMACEUTICALS, LLC and GUANGZHOU XIANGXUE NEW DRUG DISCOVERY AND DEVELOPMENT COMPANY LIMITED May 6th, 2012 *** = Portions of this e |
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| May 7, 2020 |
Exhibit 10.11 Execution Copy FOIA CONFIDENTIAL TREATMENT REQUESTED Confidential Materials omitted and filed separate with the Securities and Exchange Commission Triple asterisks denote omissions LICENSE AGREEMENT by and between KINEX PHARMACEUTICALS, INC. and PHARMAESSENTIA CORP December 16, 2013 *** = Portions of this exhibit have been omitted pursuant to a request for confidential treatment. An |
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| May 7, 2020 |
Exhibit 10.11.2 Portions of this exhibit marked [*] are requested to be treated confidentially. SECOND AMENDMENT TO LICENSE AGREEMENT This SECOND AMENDMENT TO LICENSE AGREEMENT (this “Second Amendment”) is made and entered into as of this 27th day of November, 2018 (“Effective Date”) by and between Athenex, Inc., formerly known as Kinex Pharmaceuticals, Inc., a corporation organized and existing u |
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| May 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, INC. |
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| May 7, 2020 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Reports First Quarter Ended March 31, 2020 Financial Results and Provides Corporate Update Regulatory filings for tirbanibulin ointment for actinic keratosis submitted to both FDA and EMA Oral Paclitaxel NDA submission is on track 2020 product sales guidance re-affirmed Conference call & webcast today at 8:00am Eastern Time BUFFALO, N.Y., May 7, 2020 — Athenex, I |
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| April 15, 2020 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(A) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement. |
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| March 30, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File N |
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| March 2, 2020 |
ATNX / Athenex Inc. 10-K - Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38112 ATHENEX, INC. (Ex |
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| March 2, 2020 |
Exhibit 4.2 DESCRIPTION OF SECURITIES The following is a brief description of the common stock, par value $0.01 per share (the “common stock”), of Athenex, Inc. (the “Company,” “we,” “our” or “us”), which is the only security of the Company registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended. This description is not complete and is qualified by reference to our ame |
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| March 2, 2020 |
Exhibit 21.1 Subsidiaries of Athenex, Inc. Subsidiary Companies Jurisdiction of Incorporation Athenex API Limited Hong Kong Athenex Biomedical International Holdings Limited Hong Kong ATHENEX CIDAL HOLDINGS I, S.A. Panama ATHENEX CIDAL HOLDINGS II, S.A. Panama ATHENEX CIDAL PANAMA, S.A. Panama Athenex Cidal Columbia S.A.S. Columbia Athenex Cidal Argentina S.A.U. Argentina Athenex Cidal Chile SpA C |
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| February 27, 2020 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Reports Fourth Quarter and Year Ended December 31, 2019 Financial Results and Provides Corporate Update • Tirbanibulin ointment NDA for actinic keratosis was submitted • Oral Paclitaxel NDA submission is on track; Final FDA meeting scheduled for early April • Presentation of Oral Paclitaxel Phase 3 results at SABCS received broad positive reception • 43% y/y incr |
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| February 27, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2020 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commissio |
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| February 14, 2020 |
ATNX / Athenex Inc. / PERCEPTIVE ADVISORS LLC - AMENDMENT NO.3 TO SCHEDULE 13G Passive Investment Amendment No.3 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Athenex, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropria |
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| February 14, 2020 |
ATNX / Athenex Inc. / venBio Select Advisor LLC - ATHENEX, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Athenex, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04685N103 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 14, 2020 |
EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 14, 2020 PERCEPTIVE ADVISORS LLC |
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| January 28, 2020 |
ATNX / Athenex Inc. S-3ASR - - FORM S-3ASR S-3ASR 1 d873838ds3asr.htm FORM S-3ASR Table of Contents Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHENEX, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 43-1985966 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification |
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| January 28, 2020 |
EX-4.2 Exhibit 4.2 REGISTRATION RIGHTS AGREEMENT dated as of December 9, 2019 by and among ATHENEX, INC. AND THE INVESTORS NAMED ON SCHEDULE I TABLE OF CONTENTS Page Article I DEFINITIONS AND INTERPRETATION 1 Section 1.1 Definitions 1 Section 1.2 Interpretation and Rules of Construction 5 Article II TRANSFER RESTRICTIONS; REGISTRATION RIGHTS 5 Section 2.1 Transfer Restrictions 5 Section 2.2 Restri |
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| December 16, 2019 |
Exhibit 10.1 Certain information in this exhibit marked [*] has been excluded from the exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. LICENSE AGREEMENT by and between ATHENEX, INC. and GUANGZHOU XIANGXUE PHARMACEUTICAL CO., LTD. December 12, 2019 TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 ARTICLE 2 COLLABORATION; GOVERNANCE 10 ARTICLE 3 GR |
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| December 16, 2019 |
EX-99.1 Exhibit 99.1 Athenex Expands its Strategic Partnership with Guangzhou Xiangxue Pharmaceutical through a Licensing Agreement for its Product Candidates Oral Paclitaxel and Oral Irinotecan, as well as Tirbanibulin Ointment, in China, Hong Kong and Macao The agreement covers China, Hong Kong and Macao (the “Territory”) and represents an expansion of the existing relationship between the two c |
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| December 16, 2019 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commissio |
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| December 13, 2019 |
EX-99.1 Exhibit 99.1 Athenex Announces Superior Response and Survival with Lower Neuropathy of a Novel Oral Paclitaxel versus IV Paclitaxel in Treatment of Metastatic Breast Cancer First oral taxane to demonstrate superior response rate and overall survival compared to IV paclitaxel in a Phase III clinical trial Data to be presented today in an oral presentation at the 2019 San Antonio Breast Canc |
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| December 13, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commissio |
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| December 13, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commissio |
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| December 13, 2019 |
EX-99.1 Oral paclitaxel with encequidar (OPE): The first orally administered paclitaxel shown to be superior to IV paclitaxel on confirmed response and survival with less neuropathy: A Phase III clinical study in metastatic breast cancer Umanzor G1, Rugo HS2, Barrios FJ3, Vasallo RH4, Chivalan MA5, Bejarano S6, Ramirez JR7, Fein L8, Kowalyszyn RD9, Cutler DL10, Kramer D10, Goldfinch J10, Wang H10, |
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| December 5, 2019 |
Athenex Announces $60 Million Private Placement EX-99.1 Exhibit 99.1 Athenex Announces $60 Million Private Placement BUFFALO, N.Y., December 5, 2019 (GLOBE NEWSWIRE) — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer and related conditions, today announced that it has directly entered into an agreement for the sale of its |
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| December 5, 2019 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission |
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| December 5, 2019 |
EX-10.1 Exhibit 10.1 SHARE PURCHASE AGREEMENT dated as of December 5, 2019 by and among ATHENEX, INC. AND THE INVESTORS LISTED ON SCHEDULE 1 TABLE OF CONTENTS Page ARTICLE I Purchase; Purchase Price; and Closings SECTION 1.1. Purchase 1 SECTION 1.2. Purchase Price 1 SECTION 1.3. Closing 1 SECTION 1.4. Closing Conditions 2 ARTICLE II Representations and Warranties SECTION 2.1. Representations and W |
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| December 5, 2019 |
Form of Registration Rights Agreement EX-10.2 Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT dated as of December [•], 2019 by and among ATHENEX, INC. AND THE INVESTORS NAMED ON SCHEDULE I TABLE OF CONTENTS Page Article I 1 DEFINITIONS AND INTERPRETATION 1 Section 1.1 Definitions 1 Section 1.2 Interpretation and Rules of Construction 5 Article II TRANSFER RESTRICTIONS; REGISTRATION RIGHTS 5 Section 2.1 Transfer Restrictions 5 Section 2.2 |
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| November 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, INC. |
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| November 7, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d826280d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporat |
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| November 7, 2019 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Announces Third Quarter 2019 Financial Results Oral presentation of Phase III Oral Paclitaxel data at the San Antonio Breast Cancer Symposium NDA submissions for Oral Paclitaxel and tirbanibulin ointment are on track $19.2 million of product sales in Q3 2019, a 45% year-over-year increase Raising full year 2019 guidance to 35% to 40% year-over-year growth Confere |
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| September 9, 2019 |
EX-99.1 ATHENEX Corporate Presentation September 2019 CONFIDENTIAL Nasdaq: ATNX Exhibit 99.1 2 Except for historical information, all of the statements, expectations, and assumptions contained in this presentation constitute forward-looking statements. These statements include descriptions regarding the intent, belief or current expectations of Athenex, Inc. (the “Company”), its officers or its ma |
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| September 9, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 9, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 7, 2019 |
8-K 1 d769339d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporatio |
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| August 7, 2019 |
EX-99.2 Exhibit 99.2 Athenex Announces Oral Paclitaxel and Encequidar had a Significantly Higher Response Rate Over IV Paclitaxel in a Phase III Pivotal Study in Metastatic Breast Cancer • Study met primary endpoint showing statistically significant improvement in overall response rate for oral paclitaxel and encequidar (Oral Paclitaxel) compared to IV paclitaxel based on intention-to-treat (ITT) |
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| August 7, 2019 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Announces Second Quarter 2019 Financial Results, Positive Phase III Results on Oral Paclitaxel plus Encequidar and Increased Product Sales Guidance Positive Phase III results of Oral Paclitaxel show statistically significant improvement in overall response rate in metastatic breast cancer Company is preparing two NDA submissions following successful Phase III stu |
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| August 7, 2019 |
EX-10.30.2 4 atnx-ex10302120.htm EX-10.30.2 Exhibit 10.30.2 SECOND AMENDMENT TO LICENSE AND DEVELOPMENT AGREEMENT This SECOND AMENDMENT TO LICENSE AND DEVELOPMENT AGREEMENT (this “Second Amendment”) is made and entered into as of this 18th day of June, 2019 (“Effective Date”) by and between Athenex, Inc., a corporation organized and existing under the laws of the state of Delaware, USA, with a pri |
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| August 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38112 ATHENEX, INC. |
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| August 7, 2019 |
Exhibit 10.34.2 Execution Version AMENDMENT NO. 2 TO CREDIT AGREEMENT This AMENDMENT NO. 2 TO CREDIT AGREEMENT, dated as of August 5, 2019 (this “Agreement”), is entered into by and among Athenex, Inc., a Delaware corporation (the “Borrower”), the Lenders parties hereto, and Perceptive Credit Holdings II, LP, a Delaware limited partnership, as the Administrative Agent and collateral agent for the |
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| August 7, 2019 |
Exhibit 10.20.1 Athenex Pharmaceutical Manufacturing Base Project in Chongqing Biomedical Industrial Park Supplementary Agreement (III) Party A: Chongqing Maliu Riverside Development and Investment Co., LTD (Hereinafter referred to as ‘Party A’) Party B: Athenex Pharmaceuticals (Chongqing）Limited (Hereinafter referred to as ‘Party B’) Party C: Athenex, Inc. (Hereinafter referred to as ‘Party C’) I |
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| August 7, 2019 |
Exhibit 10.34.1 Execution Version AMENDMENT NO. 1 TO CREDIT AGREEMENT This AMENDMENT NO. 1 TO CREDIT AGREEMENT, dated as of April 22, 2019 (this “Agreement”), is entered into by and among Athenex, Inc., a Delaware corporation (the “Borrower”), the Lenders parties hereto, and Perceptive Credit Holdings II, LP, a Delaware limited partnership, as the Administrative Agent and collateral agent for the |
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| August 7, 2019 |
Exhibit 10.29.1 GRANT DISBURSEMENT AGREEMENT AMENDMENT by and between the New York State Urban Development Corporation d/b/a Empire State Development ("ESD" or the "Grantor") and Athenex, Inc. (the "Grantee"). ESD and the Grantee have entered into a Grant Disbursement Agreement with respect to the Project described below and desire to amend such agreement on the following terms: PROJECT NAME: Athe |
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| August 2, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File N |
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| August 2, 2019 |
Athenex Provides an Update Regarding the Vasopressin Case EX-99.1 Exhibit 99.1 Athenex Provides an Update Regarding the Vasopressin Case BUFFALO, N.Y., August 02, 2019 — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer, today announced that the U.S. District Court for the District of Columbia issued a decision in Athenex’s litigati |
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| July 23, 2019 |
EX-4.2 Exhibit 4.2 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT dated as of May 7, 2019 by and among ATHENEX, INC., PERCEPTIVE LIFE SCIENCES MASTER FUND, LTD. VENBIO SELECT FUND LLC ORBIMED PARTNERS MASTER FUND LIMITED and THE BIOTECH GROWTH TRUST PLC TABLE OF CONTENTS Page Article I DEFINITIONS AND INTERPRETATION 1 Section 1.1 Definitions 1 Section 1.2 Interpretation and Rules of Construction |
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| July 23, 2019 |
ATNX / Athenex Inc. S-3ASR - - FORM S-3ASR S-3ASR 1 d730107ds3asr.htm FORM S-3ASR Table of Contents Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHENEX, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 43-1985966 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification |
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| July 2, 2019 |
ATNX / Athenex Inc. CORRESP - - CORRESP FOIA CONFIDENTIAL TREATMENT REQUESTED UNDER 17 C.F.R. §200.83 July 2, 2019 VIA EDGAR and Courier Securities and Exchange Commission Division of Corporation Finance Office of Healthcare & Insurance 100 F Street, N.E. Washington, DC 20549 Attn: Tabatha McCullom and Angela Connell Re: Athenex, Inc. Form 10-K for the Fiscal Year Ended December 31, 2018 Filed March 11, 2019 File No. 001-38112 L |
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| June 13, 2019 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 6, 2019 |
Athenex and PharmaEssentia Announce Positive Early Signals of Clinical Activity of EX-99.1 Exhibit 99.1 Athenex and PharmaEssentia Announce Positive Early Signals of Clinical Activity of KX2-391 (INN: tirbanibulin) in Patients with Psoriasis BUFFALO, NY and TAIPEI, Taiwan, June 6, 2019 (GLOBE NEWSWIRE) — Athenex, Inc. (NASDAQ: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer and |
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| June 6, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Num |
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| June 6, 2019 |
Athenex Provides an Update on its Chongqing API Plant EX-99.2 3 d759653dex992.htm EX-99.2 Exhibit 99.2 Athenex Provides an Update on its Chongqing API Plant BUFFALO, N.Y., June 6, 2019 — Athenex, Inc. (Nasdaq: ATNX), a global biopharmaceutical company dedicated to the discovery, development and commercialization of novel therapies for the treatment of cancer, today announced that its active pharmaceutical ingredient (API) plant in Chongqing, China ha |
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| May 31, 2019 |
ATNX / Athenex Inc. CORRESP - - CORRESP FOIA CONFIDENTIAL TREATMENT REQUESTED UNDER 17 C.F.R. §200.83 May 31, 2019 VIA EDGAR and Courier Securities and Exchange Commission Division of Corporation Finance Office of Healthcare & Insurance 100 F Street, N.E. Washington, DC 20549 Attn: Tabatha McCullom and Angela Connell Re: Athenex, Inc. Form 10-K for the Fiscal Year Ended December 31, 2018 Filed March 11, 2019 File No. 001-38112 L |
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| May 9, 2019 |
EX-99.1 Exhibit 99.1 Athenex, Inc. Announces First Quarter 2019 Financial Results and Provides Corporate Update Positive Phase 3 data for KX2-391 featured at 2019 AAD Annual Meeting Promising early and complete response data reported for Oraxol in cutaneous angiosarcoma Topline results from Oraxol Phase III clinical trial expected August 2019 Presenting four abstracts featuring Athenex product can |
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| May 9, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 9, 2019 ATHENEX, INC. (Exact name of registrant as specified in its charter) Delaware 001-38112 43-1985966 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 9, 2019 |
Exhibit 10.31.1 FIRST AMENDMENT TO THE AGREEMENT THIS FIRST AMENDMENT TO THE AGREEMENT (the “First Amendment”) effective as of March 27, 2018, (the “First Amendment Effective Date”), is by and between Athenex, Inc., a(n) New York Company/Corporation/Sole Proprietor/LLC, having an address at Conventus Building, 1001 Main Street, Suite 600, Buffalo NY 14023 (hereinafter referred to as “Owner”) and M |
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| May 9, 2019 |
Exhibit 10.31.2 SECOND AMENDMENT TO THE AGREEMENT THIS SECOND AMENDMENT TO THE AGREEMENT (the “Second Amendment”) effective as of October 1, 2018, (the “Second Amendment Effective Date”), is by and between Athenex, Inc., a(n) New York Company/Corporation/Sole Proprietor/LLC, having an address at Conventus Building, 1001 Main Street, Suite 600, Buffalo NY 14023 (hereinafter referred to as “Owner”) |
