0001209191-19-019414.txt : 20190314
0001209191-19-019414.hdr.sgml : 20190314
20190314161146
ACCESSION NUMBER: 0001209191-19-019414
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190313
FILED AS OF DATE: 20190314
DATE AS OF CHANGE: 20190314
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Trainor-Degirolamo Sheldon
CENTRAL INDEX KEY: 0001708966
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38112
FILM NUMBER: 19681189
MAIL ADDRESS:
STREET 1: C/O ATHENEX, INC. 1001 MAIN STREET
STREET 2: SUITE 600
CITY: BUFFALO
STATE: NY
ZIP: 14203
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Athenex, Inc.
CENTRAL INDEX KEY: 0001300699
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 431985966
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1001 MAIN STREET
STREET 2: SUITE 600
CITY: BUFFALO
STATE: NY
ZIP: 14203
BUSINESS PHONE: 716-898-8625
MAIL ADDRESS:
STREET 1: 1001 MAIN STREET
STREET 2: SUITE 600
CITY: BUFFALO
STATE: NY
ZIP: 14203
FORMER COMPANY:
FORMER CONFORMED NAME: Kinex Pharmaceuticals, Inc.
DATE OF NAME CHANGE: 20131223
FORMER COMPANY:
FORMER CONFORMED NAME: Kinex Pharmaceuticals LLC
DATE OF NAME CHANGE: 20040817
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-03-13
0
0001300699
Athenex, Inc.
ATNX
0001708966
Trainor-Degirolamo Sheldon
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO
NY
14203
1
0
0
0
Common Stock
2019-03-13
4
S
0
45915
11.77
D
665418
I
By PacBridge Partners V Investment Co Ltd.
Stock Option (Right to Buy)
11.00
2027-06-13
Common Stock
19500
19500
D
Stock Option (Right to Buy)
17.30
2028-03-27
Common Stock
19500
19500
D
Stock Option (Right to Buy)
13.17
2029-02-28
Common Stock
17500
17500
D
This transaction was executed in multiple trades ranging from $11.75 to $11.98. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
These shares are held for the account of PacBridge Partners V Investment Co Ltd. Sheldon Trainor-Degirolamo ("Mr. Trainor-Degirolamo") is the sole director and shareholder of PacBridge Partners V Investment Co Ltd. and has sole voting and dispositive power over the shares held by it.
Mr. Trainor-Degirolamo disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Trainor-Degirolamo is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
The option vests in four equal annual installments beginning on June 13, 2018.
This option vests in four equal annual installments beginning on March 27, 2019.
The option vests in four equal annual installments beginning on February 28, 2020.
/s/ Teresa Bair, Attorney-in-Fact
2019-03-14