Statement of Changes in Beneficial Ownership (4)
March 13 2023 - 4:38PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kwan Rudolf |
2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc.
[
ATNX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP, Chief Medical Officer |
(Last)
(First)
(Middle)
C/O ATHENEX, INC.,, 1001 MAIN STREET, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/10/2023 |
(Street)
BUFFALO, NY 14203
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/10/2023 | | A | | 2526 | A | $1.94 (1) | 34916 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $91.00 | | | | | | | 5/13/2018 | 5/13/2023 | Common Stock | 2400 | | 2400 | D | |
Stock Option (Right to Buy) | $91.00 | | | | | | | 2/12/2018 | 2/12/2024 | Common Stock | 6000 | | 6000 | D | |
Stock Option (Right to Buy) | $91.00 | | | | | | | 6/12/2017 | 6/12/2024 | Common Stock | 2400 | | 2400 | D | |
Stock Option (Right to Buy) | $110.00 | | | | | | | 12/16/2018 | 12/16/2024 | Common Stock | 10000 | | 10000 | D | |
Stock Option (Right to Buy) | $150.00 | | | | | | | 5/22/2019 | 5/22/2025 | Common Stock | 6000 | | 6000 | D | |
Stock Option (Right to Buy) | $220.00 | | | | | | | 6/13/2020 | 6/13/2027 | Common Stock | 7000 | | 7000 | D | |
Stock Option (Right to Buy) | $346.00 | | | | | | | 3/27/2022 | 3/27/2028 | Common Stock | 6000 | | 6000 | D | |
Stock Option (Right to Buy) | $263.40 | | | | | | | 2/28/2023 | 2/28/2029 | Common Stock | 6000 | | 6000 | D | |
Stock Option (Right to Buy) | $249.00 | | | | | | | (2) | 6/5/2030 | Common Stock | 7000 | | 7000 | D | |
Stock Option (Right to Buy) | $76.00 | | | | | | | (3) | 8/3/2031 | Common Stock | 3500 | | 3500 | D | |
Restricted Stock Units | (4) | | | | | | | (5) | (5) | Common Stock | 2625 | | 2625 | D | |
Stock Option (Right to Buy) | $13.31 | | | | | | | (6) | 7/20/2032 | Common Stock | 3750 | | 3750 | D | |
Explanation of Responses: |
(1) | Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase. |
(2) | This option vests in four equal annual installments beginning on June 5, 2021. |
(3) | The option vests in four equal annual installments beginning on August 3, 2022. |
(4) | Each restricted stock unit represents a contingent right to receive one share of stock. |
(5) | The restricted stock units vest in four equal annual installments beginning on August 3, 2022. |
(6) | This option vests in four equal annual installments beginning on July 20, 2023. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kwan Rudolf C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 BUFFALO, NY 14203 |
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| EVP, Chief Medical Officer |
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Signatures
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/s/ Steven Adams, Attorney-in-Fact | | 3/13/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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