0001209191-23-000007.txt : 20230103 0001209191-23-000007.hdr.sgml : 20230103 20230103075130 ACCESSION NUMBER: 0001209191-23-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221230 FILED AS OF DATE: 20230103 DATE AS OF CHANGE: 20230103 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: 23500220 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 2022-12-30 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 2022-12-30 4 A 0 33220 0.1475 A 538579 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 2020-06-13 2027-06-13 Common Stock 140000 140000 D Stock Option (Right to Buy) 17.30 2022-03-27 2028-03-27 Common Stock 120000 120000 D Stock Option (Right to Buy) 13.17 2029-02-28 Common Stock 120000 120000 D Stock Option (Right to Buy) 12.45 2030-06-05 Common Stock 140000 140000 D Stock Option (Right to Buy) 3.80 2031-08-03 Common Stock 70000 70000 D Restricted Stock Units Common Stock 52500 52500 D Stock Option (Right to Buy) 0.6655 2032-07-20 Common Stock 75000 75000 D Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase. Includes 3 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan. This option vests in four equal annual installments beginning on February 28, 2020. This option vests in four equal annual installments beginning on June 5, 2021. The option vests in four equal annual installments beginning on August 3, 2022. Each restricted stock unit represents a contingent right to receive one share of stock. The restricted stock units vest in four equal annual installments beginning on August 3, 2022. This option vests in four equal annual installments beginning on July 20, 2023. /s/ Steven Adams, Attorney-in-Fact 2023-01-03