Current Report Filing (8-k)
April 02 2019 - 7:06AM
Edgar (US Regulatory)
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
1, 2019
ATHENEX, INC.
(Exact
name of registrant as specified in its charter)
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Delaware
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001-38112
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43-1985966
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1001 Main Street, Suite 600, Buffalo, New York
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14203
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code: (716)
427-2950
Check the appropriate box below
if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this
chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§240.12b-2
of this chapter).
Emerging growth company ☒
If an
emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☒
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers.
Appointment of Director
On April 1, 2019, the Board of Directors of Athenex, Inc. (the Company) appointed a new member to its Board of Directors, John Tiong Lu Koh,
effective as of the same date. Mr. Koh will join Class III of the Board of Directors and serve until the 2020 annual meeting of stockholders. In connection with his appointment, consistent with the Companys other
non-employee
directors, Mr. Koh was granted options to purchase 10,000 shares of the Companys common stock, which vest in four equal annual installments beginning on the anniversary of the date of grant.
In addition, he will receive an annual cash fee of $26,000.
Mr. Koh was not appointed pursuant to any arrangement or understanding with any person.
Neither Mr. Koh nor any of his immediate family members have been a party to any transaction with the Company, and no such transaction is currently proposed, that would be reportable under Item 404(a) of Regulation
S-K.
Press Release
On April 2, 2019, the Company issued a press release announcing the appointment of Mr. Koh. A copy of this press release is filed as Exhibit
99.1 to this Current Report on Form
8-K.
Item 9.01.
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Financial Statements and Exhibits.
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(d) Exhibits
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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ATHENEX, INC.
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Date: April 2, 2019
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/s/ Randoll Sze
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Name:
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Randoll Sze
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Title:
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Chief Financial Officer
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