EXPLANATORY NOTE
Pursuant to General Instruction E to Form S-8 under the Securities
Act of 1933, as amended (the “Securities Act), this Registration
Statement on Form S-8 (the “Registration
Statement”) is filed by Athenex, Inc. (the “Company”) to register
12,500,000 additional shares of common stock, par value $0.001 per
share (the “Common Stock”) that may be issued under the Amended and
Restated 2017 Omnibus Incentive Plan, as amended (the “Amended
Plan”). On October 11, 2022, the Company filed with the U.S.
Securities and Exchange Commission (the “SEC”) a definitive proxy
statement that included proposals to, among other things, increase
the number of shares available for issuance under the Amended Plan
by 12,500,000 shares of Common Stock. The proposal to increase the
number of shares available for issuance under the Amended Plan was
approved by the Company’s stockholders on November 22,
2022.
Pursuant to General Instruction E to Form S-8 under the Securities
Act, the Company incorporates into this Registration Statement the
content of its prior registration statements, filed on
June 26, 2017 (Registration No. 333-218984),
August 6, 2020 (Registration No. 333-241666),
and July 27, 2021 (Registration No. 333-258192), except as expressly
modified herein.
PART II
INFORMATION REQUIRED IN REGISTRATION
STATEMENT
Item 3. |
Incorporation of Documents by Reference.
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The SEC’s rules allow the Company to incorporate by reference
information into this Registration Statement. This enables the
Company to disclose important information to you by referring you
to another document. Any information referred to in this way is
considered part of this Registration Statement from the date the
Company files such document. Any reports filed by the Company with
the SEC after the date of this Registration Statement, and before
the date that the offering of the securities by means of this
Registration Statement is terminated, will automatically update
and, where applicable, supersede any information contained in this
Registration Statement or incorporated by reference in this
Registration Statement.
We incorporate by reference into this Registration Statement the
following documents or information filed with the SEC (other than,
in each case, documents or information deemed to have been
furnished under Item 2.02 or Item 7.01 of Form 8-K, which is not deemed
filed in accordance with SEC rules and is not incorporated by
reference herein):
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Our Annual Report on Form 10-K for the
fiscal year ended December 31, 2021 filed with the SEC on
March 16, 2022;
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Our Quarterly Reports on Form 10-Q for the quarterly period
ended March 31, 2022 filed with the SEC on May 10, 2022;
the quarterly period ended June 30, 2022 filed with the SEC
on
July 29, 2022, and the quarterly period ended
September 30, 2022 filed with the SEC on
November 3, 2022.
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Our Current Reports on Form 8-K filed with the SEC
on
January 12, 2022,
January 21, 2022,
February 15, 2022,
February 22, 2022,
March 16, 2022,
March 24, 2022,
March 29, 2022,
April 15, 2022,
June 14, 2022,
June 24, 2022,
July 1, 2022,
July 11, 2022,
August 15, 2022,
August 18, 2022,
September 16, 2022,
October 3, 2022,
November 21, 2022, and
November 22, 2022.
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The description of our Common Stock contained in our registration
statement on Form
8-A filed by
the Company with the SEC on June 12, 2017 under
Section 12(b) of the Securities Exchange Act of 1934, as
amended (the “Exchange Act”), and any amendment or report filed for
the purpose of updating such description (including Exhibit
4.2 to the Registrant’s Annual Report on Form 10-K filed with the SEC
on
March 2, 2020).
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We also incorporate by reference all documents we file in the
future pursuant to Section 13(a), 13(c), 14 or 15(d) of the
Securities and Exchange Act of 1934, as amended, after the date of
this Registration Statement and prior to the sale of all the
securities covered by this Registration Statement, except in each
case the information contained in such document to the extent
“furnished” and not “filed.”
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