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