0001209191-20-017676.txt : 20200310 0001209191-20-017676.hdr.sgml : 20200310 20200310163010 ACCESSION NUMBER: 0001209191-20-017676 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200309 FILED AS OF DATE: 20200310 DATE AS OF CHANGE: 20200310 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kwan Rudolf CENTRAL INDEX KEY: 0001708965 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38112 FILM NUMBER: 20701905 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 2020-03-09 0 0001300699 Athenex, Inc. ATNX 0001708965 Kwan Rudolf C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 0 1 0 0 EVP, Chief Medical Officer Common Stock 2020-03-09 4 P 0 2000 9.7866 A 135048 D Stock Option (Right to Buy) 4.55 2014-05-09 2021-05-09 Common Stock 48000 48000 D Stock Option (Right to Buy) 4.55 2016-01-02 2023-01-02 Common Stock 96000 96000 D Stock Option (Right to Buy) 4.55 2018-05-13 2023-05-13 Common Stock 48000 48000 D Stock Option (Right to Buy) 4.55 2018-02-12 2024-02-12 Common Stock 120000 120000 D Stock Option (Right to Buy) 4.55 2017-06-12 2024-06-12 Common Stock 48000 48000 D Stock Option (Right to Buy) 5.50 2018-12-16 2024-12-16 Common Stock 200000 200000 D Stock Option (Right to Buy) 7.50 2019-05-22 2025-05-22 Common Stock 120000 120000 D Stock Option (Right to Buy) 11.00 2027-06-13 Common Stock 140000 140000 D Stock Option (Right to Buy) 17.30 2018-03-27 Common Stock 120000 120000 D Stock Option (Right to Buy) 13.17 2029-02-28 Common Stock 120000 120000 D These shares were purchased in multiple transactions at prices ranging from $9.7850 to $9.7878, inclusive. 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 any security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected. Includes 942 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan. The option vests in three 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 2020-03-10