0001209191-19-053414.txt : 20191017 0001209191-19-053414.hdr.sgml : 20191017 20191017161139 ACCESSION NUMBER: 0001209191-19-053414 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191017 FILED AS OF DATE: 20191017 DATE AS OF CHANGE: 20191017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sze Randoll CENTRAL INDEX KEY: 0001751011 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38112 FILM NUMBER: 191155274 MAIL ADDRESS: STREET 1: C/O ATHENEX, INC. STREET 2: 1001 MAIN STREET, 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 2019-10-17 0 0001300699 Athenex, Inc. ATNX 0001751011 Sze Randoll C/O ATHENEX, INC. 1001 MAIN STREET, SUITE 600 BUFFALO NY 14203 0 1 0 0 Chief Financial Officer Common Stock 2019-10-17 4 P 0 1000 10.99 A 3000 D Stock Option (Right to Buy) 17.09 2028-08-20 Common Stock 90000 90000 D Stock Option (Right to Buy) 17.77 2027-10-03 Common Stock 28000 28000 D Stock Option (Right to Buy) 17.30 2028-03-27 Common Stock 10000 10000 D Stock Option (Right to Buy) 13.17 2029-02-28 Common Stock 60000 60000 D This transaction was executed in multiple trades ranging from $10.9862 to $10.99. 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 four equal annual installments beginning on August 20, 2019. The option vests in four equal annual installments beginning on October 3, 2018. The 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 2019-10-17