Form D · Pharmaceuticals
Athenex, Inc.
Buffalo, NY · CIK 0001300699
Offering snapshot reported Dec 11, 2019 · SEC filing
- Reported sold
- $60.4M Offering amount: $60.4M
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 9, 2019 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 11, 2019 | Initial | $60,369,975 | No comparison | 5 | SEC filing |
| May 15, 2019 | Initial | $100,000,000 | No comparison | 4 | SEC filing |
| Jul 17, 2018 | Initial | $50,000,000 | No comparison | 1 | SEC filing |
| May 3, 2017 | Initial | $20,000,000 | No comparison | 1 | SEC filing |
| Oct 7, 2016 | Initial | $37,900,000 | No comparison | 5 | SEC filing |
| Jun 16, 2015 | Initial | $10,000,016 | No comparison | 2 | SEC filing |
| Jun 16, 2015 | Amendment | $74,399,996 | $26,300,016vs May 20, 2015 | 9 | SEC filing |
| May 20, 2015 | Initial | $48,099,980 | No comparison | 9 | SEC filing |
| Dec 23, 2013 | Initial | $300,000 | No comparison | 1 | SEC filing |
| Aug 6, 2012 | Initial | $5,000,000 | No comparison | 1 | SEC filing |
| Apr 25, 2011 | Initial | $4,674,600 | No comparison | 2 | SEC filing |
| Feb 3, 2010 | Amendment | $4,075,000 | $265,000vs Jan 7, 2010 | 24 | SEC filing |
| Jan 7, 2010 | Initial | $3,810,000 | No comparison | 20 | SEC filing |
| Oct 20, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Aug 11, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Feb 20, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jan 4, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 22, 2005 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $1M
- Finders' fees
- $0
- Form D file number
- 021-355313
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| SunTrust Robinson Humphrey, Inc. | 6271 |
Source: Form D, filed Dec 11, 2019. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Allen Barnett | Director, Executive |
| Flint Besecker | Director, Executive |
| Kim Campbell | Director |
| Stephanie Davis | Director |
| Lyn Dyster | Executive |
| Manson Fok | Director |
| David Hangauer | Executive |
| David Hsia | Director |
| James Hussey | Executive |
| Jordan Kanfer | Director |
| John Koh | Director |
| Rudolph Kwan | Executive |
| Rudolf Kwan | Executive |
| Charles Lannon | Director |
| Johnson Lau | Director, Executive |
| Antony Leung | Director |
| Michael Murphy | Director |
| Simon Pedder | Executive |
| Nick Riehle | Executive |
| Li Shen | Executive |
| Jean Pierre Sommadossi | Director |
| Randoll Sze | Executive |
| Sheldon Trainor Degirolamo | Director |
| Benson Tsang | Director |
| John Vierling | Director |
| Jinn Wu | Director |
| Jeffrey Yordon | Executive |
| Song Yi Zhang | Director |
| William Zuo | Executive |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
1001 Main Street, Suite 600
Buffalo, NY, 14203
Buffalo, NY, 14203