0001209191-19-050711.txt : 20190925 0001209191-19-050711.hdr.sgml : 20190925 20190925164005 ACCESSION NUMBER: 0001209191-19-050711 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190925 FILED AS OF DATE: 20190925 DATE AS OF CHANGE: 20190925 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: 191114606 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 2019-09-25 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 2019-09-25 4 M 0 24000 4.55 A 132106 D Stock Option (Right to Buy) 4.55 2019-09-25 4 M 0 24000 0.00 D 2010-12-01 2019-12-10 Common Stock 24000 0 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 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 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 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. 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 2019-09-25