Statement of Changes in Beneficial Ownership (4)
November 21 2022 - 04:20PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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|
1. Name
and Address of Reporting Person * Kwan Rudolf |
2. Issuer Name and Ticker or Trading
Symbol Athenex, Inc. [ ATNX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
EVP, Chief Medical Officer |
(Last)
(First)
(Middle)
C/O ATHENEX, INC.,, 1001 MAIN STREET, SUITE 600 |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/18/2022
|
(Street)
BUFFALO, NY 14203
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
11/18/2022 |
|
A |
|
25257 |
A |
$0.194 (1) |
439347 |
D |
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy) |
$4.55 |
|
|
|
|
|
|
1/2/2016 |
1/2/2023 |
Common Stock |
96000 |
|
96000 |
D |
|
Stock Option (Right to Buy) |
$4.55 |
|
|
|
|
|
|
5/13/2018 |
5/13/2023 |
Common Stock |
48000 |
|
48000 |
D |
|
Stock Option (Right to Buy) |
$4.55 |
|
|
|
|
|
|
2/12/2018 |
2/12/2024 |
Common Stock |
120000 |
|
120000 |
D |
|
Stock Option (Right to Buy) |
$4.55 |
|
|
|
|
|
|
6/12/2017 |
6/12/2024 |
Common Stock |
48000 |
|
48000 |
D |
|
Stock Option (Right to Buy) |
$5.50 |
|
|
|
|
|
|
12/16/2018 |
12/16/2024 |
Common Stock |
200000 |
|
200000 |
D |
|
Stock Option (Right to Buy) |
$7.50 |
|
|
|
|
|
|
5/22/2019 |
5/22/2025 |
Common Stock |
120000 |
|
120000 |
D |
|
Stock Option (Right to Buy) |
$11.00 |
|
|
|
|
|
|
6/13/2020 |
6/13/2027 |
Common Stock |
140000 |
|
140000 |
D |
|
Stock Option (Right to Buy) |
$17.30 |
|
|
|
|
|
|
3/27/2022 |
3/27/2028 |
Common Stock |
120000 |
|
120000 |
D |
|
Stock Option (Right to Buy) |
$13.17 |
|
|
|
|
|
|
(2) |
2/28/2029 |
Common Stock |
120000 |
|
120000 |
D |
|
Stock Option (Right to Buy) |
$12.45 |
|
|
|
|
|
|
(3) |
6/5/2030 |
Common Stock |
140000 |
|
140000 |
D |
|
Stock Option (Right to Buy) |
$3.80 |
|
|
|
|
|
|
(4) |
8/3/2031 |
Common Stock |
70000 |
|
70000 |
D |
|
Restricted Stock Units |
(5) |
|
|
|
|
|
|
(6) |
(6) |
Common Stock |
52500 |
|
52500 |
D |
|
Stock Option (Right to Buy) |
$0.6655 |
|
|
|
|
|
|
(7) |
7/20/2032 |
Common Stock |
75000 |
|
75000 |
D |
|
Explanation of
Responses: |
(1) |
Shares purchased from the
Issuer under a Salary Deduction and Stock Purchase Agreement at the
Nasdaq Official Closing Price on the date of purchase. |
(2) |
This option vests in four
equal annual installments beginning on February 28,
2020. |
(3) |
This option vests in four
equal annual installments beginning on June 5, 2021. |
(4) |
The option vests in four
equal annual installments beginning on August 3, 2022. |
(5) |
Each restricted stock unit
represents a contingent right to receive one share of
stock. |
(6) |
The restricted stock units
vest in four equal annual installments beginning on August 3,
2022. |
(7) |
This option vests in four
equal annual installments beginning on July 20, 2023. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Kwan Rudolf
C/O ATHENEX, INC.,
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203 |
|
|
EVP, Chief Medical Officer |
|
Signatures
|
/s/ Steven Adams,
Attorney-in-Fact |
|
11/21/2022 |
**Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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