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Athenex Inc (ATNX.OQ)

ATNX.OQ on NASDAQ Stock Exchange Global Select Market

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19 Jun 2019
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Summary

Name Age Since Current Position

Johnson Lau

57 2011 Chairman of the Board, Chief Executive Officer

William Zuo

56 1995 President, Polymed Therapeutic

Jeffrey Yordon

69 2017 Chief Operating Officer and President, Athenex Pharmaceutical Division

Li Shen

50 2017 Chief Accounting Officer, Vice President of Financial Reporting

Rudolf Kwan

65 2014 Chief Medical Officer

Simon Pedder

58 Chief Business and Strategy Officer, Proprietary Products

Kim Campbell

71 2015 Lead Director

Stephanie Davis

2019 Director

Manson Fok

61 2015 Director

Jordan Kanfer

2019 Director

Tiong Lu Koh

60 2019 Director

John Vierling

73 2019 Director

Michael Cannon

72 2017 Independent Director

Jinn Wu

69 2007 Independent Director

James Zukin

69 2017 Independent Director

Tim McCarthy

2017 IR Contact Officer

Biographies

Name Description

Johnson Lau

Dr. Johnson Y.N. Lau M.D. serves as Chief Executive Officer and Chairman of the Board of company. Dr. Lau has had extensive leadership experience in both scientific and business management. He previously served as Chairman and Chief Executive Officer of Ribapharm Inc., and oversaw the company’s initial public offering in 2002. Prior to Ribapharm, he served as Senior Vice President and Head of Research and Development for ICN Pharmaceuticals Inc. Prior to joining ICN, Dr. Lau served as the Senior Director of Antiviral Therapy Research at Schering-Plough Corporation. Dr. Lau has contributed more than 200 scientific publications, editorials/reviews and chapters in peer reviewed scientific journals and has edited two books. He was a former Managing Director at Roth Capital Partners, LLC and a Director of the Board of Chelsea Therapeutics International Ltd., serving as the Chair of the Audit and Risk Management Committee as well as the Corporate Governance Committee. He is currently serving on the board of Porton Fine Chemicals Ltd., and private companies including Avalon Biomedical (Management) Ltd., Avagenex Ltd. and Aiviva Biopharma, Inc., as well as serving the Hong Kong X-Tech Startup platform as a general partner and mentor. He is also an Executive Board Member of the charity Project Vision and is an honorary professor/adjunct professor of the University of Hong Kong, Hong Kong Polytechnic University and Chongqing Southwestern Hospital, and a member of the Advisory Board of the School of Biomedical Sciences of the Chinese University of Hong Kong. Dr. Lau received his medical degree (M.B.B.S.) and medical doctorate degree (M.D.) from the University of Hong Kong. He is also a Fellow of the Royal College of Physicians.

William Zuo

Dr. William Zuo, Ph.D. serves as President, Polymed Therapeutics of the company. Dr. Zuo joined our company in 2015 as President of our China operations in conjunction with our acquisition of Polymed. Dr. Zuo served as President of Polymed Therapeutics since 1995 and Chairman of Chongqing Taihao Pharmaceutical since 2012. Dr. Zuo’s career has focused on the development, manufacture, and sale and marketing of various complex API on a global basis, especially injectable oncology API. Dr. Zuo was the CEO of the Fibrocell Science Group Companies in Asia from 2010 to 2013. Dr. Zuo oversaw the introduction of the U.S. FDA approved cell therapeutics product, LaViv, to the Asia market. He has overseen the construction of multiple cGMP facilities in China and has extensive experience with the Food and Drug Administrations in both China and the United States. Dr. Zuo received his Ph.D in Nanotechnology from Rice University where he worked extensively with Dr. Richard Smalley, the late Nobel Prize Scholar in Chemistry. Dr. Zuo also has Master degrees in Chemical Engineering and Applied Mathematics from Rice University.

Jeffrey Yordon

Mr. Jeffrey Yordon serves as Chief Operating Officer and President, Athenex Pharmaceutical Division of the company. Mr. Yordon has held multiple senior management positions in the pharmaceutical industry over the last 46 years. Mr. Yordon was the Founder, Chairman and CEO of Sagent Pharmaceuticals from 2007 until joining us in 2016. Prior to that Mr. Yordon was the COO of American Pharmaceutical Partners where he was a co-founder until the company was eventually sold to Fresenius. Mr. Yordon was the CEO of Faulding Pharmaceuticals, CEO and founder of YorPharm, COO of Gensia Pharmaceuticals and he was involved in the sale of each of these companies to Apotex, Teva and Hospira, respectively. Mr. Yordon was an Ernst & Young Entrepreneur of the Year in 2011, was inducted into the Chicago Entrepreneur Hall of Fame in 2014, won a prestigious Innovation Award from the City of Chicago, was appointed to the Chicago Innovation Council in 2014, was appointed by Governor Rauner to the Illinois Sports Facilities Authority in 2015, has been appointed to be the Chairman of the Board of the Northern Illinois University Foundation, is the Chair of the NIU Political Science Advisory Panel and is actively involved in the NIU Athletic program. Mr. Yordon received a B.A. in Political Science from Northern Illinois University.

Li Shen

Ms. Li Shen, MBA, C.P.A serves as vice president of financial reporting since 2015 and was appointed as our acting Chief Accounting Officer in December 2017. Ms. Shen has held multiple management positions at global companies in a variety of industries, including financial services, international trade, workforce solutions, energy, real estate and biotech for over 28 years. Ms. Shen has extensive experience with financial analysis, planning, accounting and auditing, asset management and risk management for both public and private companies. Prior to joining Athenex, Ms. Shen worked in audit and assurance services functions for PricewaterhouseCoopers in New York City, leading audit engagements in the capital markets area. Her clients included key U.S. banks, investment companies, the depository trust company and large insurance companies. Ms. Shen graduated with an MBA in professional accounting from Rutgers University and she is a certified public accountant in New York State.

Rudolf Kwan

Dr. Rudolf Kwan, MBBS. serves as Chief Medical Officer of the company since 2014 and has advised our company since 2008. Until February 2017, Dr. Kwan was engaged on a consultant basis. Dr. Kwan has over twenty years of experience in the pharmaceutical industry in global clinical development and operations. Before joining us, he served dual roles at Schering-Plough as Vice President and Regional Head of Asia Pacific Global Clinical Operations and Vice President of Global Clinical Development, CNS. In the clinical operations position, Dr. Kwan successfully recruited Heads of Clinical Operations for China, South East Asia, Australia, Taiwan and South Korea and set up the infrastructure to conduct global clinical trials in Asia Pacific for Schering-Plough. As Vice President of Global Clinical Development, CNS, he was responsible for the clinical development of all Schering-Plough’s central nervous system drugs, globally, where his achievements included overseeing development and execution of a bioequivalence registration strategy for a new formulation of Temodol for glioblastoma, which led to a simultaneous global registration. He also designed and executed multiple global development programs. He held similar positions at Chiron Corporation and was at Smith-Kline Beecham. Dr. Kwan obtained his medical degree (MBBS) from the University of Hong Kong, and received subsequent training at the University of Wales and is a member of the Royal College of Physicians in the United Kingdom. He was a member and Chair of the Data Monitoring and Safety Board and Protocol Review Board for the Clinical Trial Network of the National Institute on Drug Abuse of the U.S. National Institutes of Health, or NIH. He was also a member of several advisory panels and grant review panels for the NIH.

Simon Pedder

Dr. Simon Pedder serves as Chief Business and Strategy Officer, Proprietary Products of the company. Dr. Pedder has had a long career in both drug development and commercialization. This includes recent leadership roles with publicly traded Biotechnology companies. He was President and CEO of Cellectar Biosciences from April 2014 to June 2015. He was President and CEO of Chelsea Therapeutics from May 2004 to July 2012. Previously he was Vice President of Oncology Pharma Business, and a company officer at Hoffmann-La Roche, as well he has served as the Life Cycle Leader and Global Project Leader of Pegasys/IFN and Head of Hepatitis Franchise at Roche. Dr. Pedder serves on the board of directors of Mateon Therapeutics, Inc. Formerly, he was a member of the faculty in the Department of Pharmacology in College of Medicine in the University of Saskatchewan, where he obtained his Ph.D in Pharmacology. During his longstanding career in pharmaceutical development, Dr. Pedder has led the late stage development and commercial launch of multiple proprietary pharmaceutical products. In addition to his Ph.D in Pharmacology, Dr. Pedder obtained a Master of Science in Toxicology from Concordia University, a Bachelor of Science in Environmental Studies from the University of Waterloo, and completed the Roche-sponsored Pharmaceutical Executive Management Program at Columbia Business School.

Kim Campbell

Ms. Kim Campbell serves as Lead Independent Director of the company since October 2015 and is currently our Lead Independent Director. 1n 1993, Ms. Campbell served as Canada’s nineteenth, and first female, Prime Minister. More recently, Ms. Campbell has served as the Founding Principal of Peter Lougheed Leadership College at the University of Alberta since 2014, and as a professional speaker since 2001. She previously held cabinet portfolios as Minister of Justice and Attorney General, Minister of Indian Affairs and Northern Development and Minister of National Defence and Minister of Veterans’ Affairs. She was the first woman to hold the Justice and Defence portfolios, and the first woman to be Defence Minister of a NATO country. Ms. Campbell participated in major international meetings including the Commonwealth, NATO, the G-7 Summit and the United Nations General Assembly. After her tenure as Prime Minister, Ms. Campbell was a fellow at the Institute of Politics (Spring 1994) and the Shorenstein Center on Media, Politics and Public Policy (1994-1995) at the Harvard Kennedy School of Government. She served as the Canadian Consul General in Los Angeles (1996-2000), then returned to Harvard to teach at the Center for Public Leadership at the Kennedy School (2001-2004).s. Campbell is a founding member of the World Leadership Alliance Club de Madrid, an organization of former heads of government and state who work to promote democratic values. She served as Secretary General (2004-2006). She has also served as its Acting President in 2002, its Vice President in 2003-2004 and served on its board of directors from 2007-2011. Ms. Campbell is a member and chair emerita of the Council of Women World Leaders (1993-2003). The Council’s membership consists of women who hold or have held the office of President or Prime Minister. Ms. Campbell is a member of the International Women’s Forum, a global organization of women of significant and diverse achievement.

Stephanie Davis

Ms. Stephanie Davis is appointed as Director of the Company, effective April 1, 2019. Ms. Stephanie Davis is a Senior Client Partner at Korn Ferry, and leads the Private Equity and Technology markets in North America and is a core member of the CEO and Board practices. She brings over 20 years of leadership consulting experience, working with CEOs to build their executive teams and with Boards of Directors on governance, diversity and succession planning. Prior to joining Korn Ferry, Ms. Davis was a founding member of the Business Services practice at another global executive search firm, Spencer Stuart, where she worked extensively on CEO, president and board engagements across the technology spectrum. She was previously a software executive leading the international growth of an educational software company, Jostens Learning Corporation; a management consultant with McKinsey & Company; and an associate in corporate finance and capital markets at Prudential Investment Corporation. She earned an MBA from Harvard Business School and Bachelor of Science in Engineering, cum laude, at Princeton University. She is a frequent speaker on board governance and diversity.

Manson Fok

Mr. Manson Fok serves as Director of the company since June 2015. Since October 2011, Dr. Fok has been the Chairman of Pedder Clinic, a private medical practice in Hong Kong. He is also the Dean, Faculty of Health Sciences at Macau University of Science and Technology, or MUST; Hospital Director of University Hospital at MUST; President of the Macau Healthcare Management and Promotion Association; Censor-in-Chief, World Chinese Doctors’ Association; Honorary Fellow, Chinese College of Surgeons; Committee member, The Council for Medical Affairs in Macau SAR, among many other leadership positions. Dr. Fok is also a director of Avalon Biomedical (Management) Limited. Dr. Fok was awarded the 2014 Gusi Peace Prize in Humanitarianism for his remarkable contributions to medical education, healthcare delivery and cross-border biotechnology developments that act as a bridge within Asia and across continents. In 2015, Dr. Fok was appointed as the Chief Executive Officer of the same Peace Prize Foundation to continue promoting peace, cooperation and healthcare development in the Asia-Pacific region. After receiving his medical degree (M.B.B.S.) from the University of Hong Kong in 1982, Dr. Fok was appointed faculty in the Surgical Unit of the University of Hong Kong. Dr. Fok has published many original research papers in high-ranking international medical journals and chapters in various academic books focusing on minimally invasive treatment for esophageal surgery.

Jordan Kanfer

Mr. Jordan S. Kanfer is Director of the Company. Jordan Kanfer is a Managing Director, Convertible and Equity Research at Opti Capital Management, where he is responsible for all aspects of healthcare investing for both credit and equity components. He is currently a member of the American College of Healthcare Executives and serves on the Board of Advisors for dB Diagnostics Systems. Mr. Kanfer’s investment management experience includes working in various managerial and senior analyst roles, most notably for Arrowgrass Capital Partners, TPG-Axon Capital, JANA Partners, and SAC Capital. Prior to working on the buy-side, Mr. Kanfer was a Vice President at Goldman, Sachs & Co., and previously worked in the healthcare industry in multiple consulting and operations capacities. He received an M.P.H. from the University of Massachusetts at Amherst and a B.A. in history from Yeshiva University.

Tiong Lu Koh

Mr. Tiong Lu Koh is Director of the Company. John Koh is an independent director of NSL Ltd.; Mapletree Industrial Trust, a Singapore listed REIT; Kris Energy; and Aurora Mobile Limited (JG), a NASDAQ company. He is Chairman of the Audit Committees of NSL, JG, and Kris Energy; and a Lead Independent Director for Mapletree REIT and Kris Energy. He is also a Senior Advisor to Global Counsel, a UK policy advisory business and Director of its Singapore company. Mr. Koh has over 30 years of experience in investment banking and law having been a Managing Director and Senior Advisor of the Goldman Sachs Group until 2005. Prior to joining Goldman Sachs in 1999, Mr. Koh spent 19 years as a lawyer, including 7 years with Milbank Tweed and Paul Weiss, as well as serving in the Singapore Attorney-General's Chambers office. Mr. Koh has an active interest in the arts and the book business as the owner of Bernard Quaritch Ltd., London's oldest antiquarian bookseller. He is also a director of the National Library Board, National Museum and is on the development board of Oxford University's Bodleian Library and advisory committees of the Victoria & Albert Museum and the Chelsea Physic Garden. Mr. Koh received a Singapore government scholarship to read economics and law at Trinity College, Cambridge and is also a graduate of Harvard Law School. He is also the author of the biography of Singapore's first Chief Justice published in 2008 by the Singapore Academy of Law.

John Vierling

Dr. John Moore Vierling, M.D. is appointed as Director of the Company, effective April 1, 2019. Dr. John Moore Vierling, MD, FACP, FAASLD, AGAF is a tenured Professor of Medicine and Surgery and Chief of Hepatology at the Baylor College of Medicine in Houston, Texas. He is also Director of Advanced Liver Therapies (a clinical research unit for adult liver diseases), Baylor Liver Health (a program for liver wellness) and Program Director of the Hepatology and Liver Transplantation Fellowship. He obtained an AB in Biology with Great Distinction from Stanford University and an MD degree from Stanford University School of Medicine. He is ABIM certified in internal medicine and gastroenterology, and was formerly certified in Transplant Hepatology. He was the founding Medical Director of Liver Transplantation at both the University of Colorado Health Sciences Center and Cedars-Sinai/UCLA Medical Center, where he was Director of Hepatology and later Medical Director of Multi-Organ Transplantation. He currently serves on the NIH NIDDK Liver Tissue and Cell Distribution System Coordinating Committee and the DSMB for its DILI Network.

Michael Cannon

Mr. Michael D. Cannon serves as Independent Director of the company since June 2017. Mr. Cannon has over forty years’ experience in the pharmaceutical industry, and has served as an Executive Director of BioSentinel, Inc. since July 2010. Previously, from 1970 to 2004, he worked at SICOR S.p.A., a Swiss-Italian API manufacturing company, in a variety of positions in manufacturing, quality and regulatory affairs and business development. Mr. Cannon was a member of the team that orchestrated the merger of SICOR with Gensia, Inc. of San Diego in 1997 and after the merger he served as Chief Scientific Officer. He then served as a member of SICOR’s board and president of the biotech division until the company was sold to Teva Pharmaceutical Industries Limited (NYSE: TEVA) in 2004. Mr. Cannon also serves on the boards of directors of Moleculin Biotech, Inc. (NASDAQ: MBRX) and three privately held companies. Mr. Cannon received a B.S. in Chemistry from Fordham College.

Jinn Wu

Dr. Jinn Wu, Ph.D. serves as Independent Director of the company since April 2007. In 1987, Dr. Wu founded XenoBiotic Laboratories, Inc., or XBL, in Plainsboro, New Jersey, a contract research organization that provides an extensive array of clinical and preclinical research services to the biotechnology and pharmaceutical industries, and he served as its President until September 2014. Since then, Dr. Wu has served as Chief Scientific Officer and Senior Vice President of WuXi AppTec from 2015 to 2016 and, beginning in 2017, now serves as Scientific Strategic Advisor to WuXi AppTec Group. Dr. Wu earned a Ph.D in Natural Products and Medicinal Chemistry from Ohio State University and spent several years as a research scientist at FMC Corporation (NYSE: FMC) before founding XBL. He is an adjunct professor at the Rutgers School of Biomedical and Health Sciences and is a member of the American Association of Pharmaceutical Scientists, the International Society for the Study of Xenobiotics, the American Society of Pharmacognosy and the American Chemical Society.

James Zukin

Mr. James H. Zukin serves as Independent Director of the company since June 2017. Mr. Zukin is a co-founder of Houlihan Lokey, Inc. (NYSE: HLI), and served in various capacities from 1976 until his retirement in 2013, most recently as Senior Managing Director of Houlihan Lokey and Chairman of its subsidiary, Houlihan Lokey Howard & Zukin Investment Consulting (Beijing) Co., Ltd. Mr. Zukin has served on the faculty of various The World Bank, International Finance Corporation, and International Monetary Fund conferences. He serves as a delegate to the Paris Club meetings involving the private sector. Mr. Zukin frequently speaks at business conferences in the United States and Asia on M&A, financial restructuring and shareholder liquidity, among other topics. Mr. Zukin earned a B.A. in Economics from the University of California at Berkeley and an M.B.A. from Harvard Business School.

Tim McCarthy

Basic Compensation