SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Kwan Rudolf

(Last) (First) (Middle)
C/O ATHENEX, INC.,
1001 MAIN STREET, SUITE 600

(Street)
BUFFALO NY 14203

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX ]
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
3. Date of Earliest Transaction (Month/Day/Year)
08/15/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/15/2019 P 1,000 A $14.85 108,106(1) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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) $4.55 12/01/2010 12/10/2019 Common Stock 24,000 24,000 D
Stock Option (Right to Buy) $4.55 05/09/2014 05/09/2021 Common Stock 48,000 48,000 D
Stock Option (Right to Buy) $4.55 01/02/2016 01/02/2023 Common Stock 96,000 96,000 D
Stock Option (Right to Buy) $4.55 05/13/2018 05/13/2023 Common Stock 48,000 48,000 D
Stock Option (Right to Buy) $4.55 02/12/2018 02/12/2024 Common Stock 120,000 120,000 D
Stock Option (Right to Buy) $4.55 06/12/2017 06/12/2024 Common Stock 48,000 48,000 D
Stock Option (Right to Buy) $5.5 (2) 12/16/2024 Common Stock 200,000 200,000 D
Stock Option (Right to Buy) $7.5 (3) 05/22/2025 Common Stock 120,000 120,000 D
Stock Option (Right to Buy) $11 (4) 06/13/2027 Common Stock 140,000 140,000 D
Stock Option (Right to Buy) $17.3 (5) 03/27/2018 Common Stock 120,000 120,000 D
Stock Option (Right to Buy) $13.17 (6) 02/28/2029 Common Stock 120,000 120,000 D
Explanation of Responses:
1. Includes 1,118 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan.
2. The option vests in four equal annual installments beginning on December 16, 2015.
3. The option vests in four equal annual installments beginning on May 22, 2016.
4. The option vests in three equal annual installments beginning on June 13, 2018.
5. This option vests in four equal annual installments beginning on March 27, 2019.
6. The option vests in four equal annual installments beginning on February 28, 2020.
Remarks:
/s/ Teresa Bair, Attorney-in-Fact 08/16/2019
** 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.
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