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