0001209191-18-059159.txt : 20181119
0001209191-18-059159.hdr.sgml : 20181119
20181119160951
ACCESSION NUMBER: 0001209191-18-059159
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181119
FILED AS OF DATE: 20181119
DATE AS OF CHANGE: 20181119
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: 181192585
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
2018-11-19
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
2018-11-19
4
P
0
1000
11.697
A
98224
D
Stock Option (Right to Buy)
4.55
2019-12-10
Common Stock
24000
24000
D
Stock Option (Right to Buy)
4.55
2021-05-09
Common Stock
48000
48000
D
Stock Option (Right to Buy)
4.55
2023-01-02
Common Stock
96000
96000
D
Stock Option (Right to Buy)
4.55
2023-05-13
Common Stock
48000
48000
D
Stock Option (Right to Buy)
4.55
2024-02-12
Common Stock
120000
120000
D
Stock Option (Right to Buy)
4.55
2024-06-12
Common Stock
48000
48000
D
Stock Option (Right to Buy)
5.50
2024-12-16
Common Stock
200000
200000
D
Stock Option (Right to Buy)
7.50
2025-05-22
Common Stock
120000
120000
D
Stock Option (Right to Buy)
11.00
2027-06-13
Common Stock
140000
140000
D
This transaction was executed in multiple trades ranging from $11.695 to $11.700. 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.
The option vests in equal monthly installments beginning on January 10, 2010.
The option vests in two equal annual installments beginning on May 9, 2012.
The option vests in two equal annual installments beginning on January 2, 2014
The option vests in four equal annual installments beginning on May 13, 2014.
The option vests in three equal annual installments beginning on February 12, 2015.
The option vests in two equal annual installments beginning on June 12, 2015.
The option vests in four equal annual installments beginning on December 16, 2015.
The option vests in four equal annual installments beginning on May 22, 2016.
The option vests in three equal annual installments beginning on June 13, 2018.
/s/ Teresa Bair, Attorney-in-Fact
2018-11-19