SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Kwan Rudolf

(Last)

(First)

(Middle)

C/O ATHENEX, INC.,

1001 MAIN STREET, SUITE 600

(Street)

BUFFALO

14203

(City)

(State)

(Zip)

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

3. Date of Earliest Transaction (Month/Day/Year)
08/15/2019

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	08/15/2019		P		1,000	A	$14.85	108,106⁽¹⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (Right to Buy)	$4.55							12/01/2010	12/10/2019	Common Stock	24,000		24,000	D
Stock Option (Right to Buy)	$4.55							05/09/2014	05/09/2021	Common Stock	48,000		48,000	D
Stock Option (Right to Buy)	$4.55							01/02/2016	01/02/2023	Common Stock	96,000		96,000	D
Stock Option (Right to Buy)	$4.55							05/13/2018	05/13/2023	Common Stock	48,000		48,000	D
Stock Option (Right to Buy)	$4.55							02/12/2018	02/12/2024	Common Stock	120,000		120,000	D
Stock Option (Right to Buy)	$4.55							06/12/2017	06/12/2024	Common Stock	48,000		48,000	D
Stock Option (Right to Buy)	$5.5							⁽²⁾	12/16/2024	Common Stock	200,000		200,000	D
Stock Option (Right to Buy)	$7.5							⁽³⁾	05/22/2025	Common Stock	120,000		120,000	D
Stock Option (Right to Buy)	$11							⁽⁴⁾	06/13/2027	Common Stock	140,000		140,000	D
Stock Option (Right to Buy)	$17.3							⁽⁵⁾	03/27/2018	Common Stock	120,000		120,000	D
Stock Option (Right to Buy)	$13.17							⁽⁶⁾	02/28/2029	Common Stock	120,000		120,000	D

Explanation of Responses:

1. Includes 1,118 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan.

2. The option vests in four equal annual installments beginning on December 16, 2015.

3. The option vests in four equal annual installments beginning on May 22, 2016.

4. The option vests in three equal annual installments beginning on June 13, 2018.

5. This option vests in four equal annual installments beginning on March 27, 2019.

6. The option vests in four equal annual installments beginning on February 28, 2020.

Remarks:

	/s/ Teresa Bair, Attorney-in-Fact	08/16/2019
	** 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).
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