Sec Form 4 Filing - Kwan Rudolf @ Athenex, Inc. - 2019-09-25

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 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]
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/YY)
09/25/2019
(Street)
BUFFALO, NY14203
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 09/25/2019 M 24,000 A $ 4.55 132,106 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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) $ 4.55 09/25/2019 M 24,000 12/01/2010 12/10/2019 Common Stock 24,000 $ 0 0 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 ( 1 ) 12/16/2024 Common Stock 200,000 200,000 D
Stock Option (Right to Buy) $ 7.5 ( 2 ) 05/22/2025 Common Stock 120,000 120,000 D
Stock Option (Right to Buy) $ 11 ( 3 ) 06/13/2027 Common Stock 140,000 140,000 D
Stock Option (Right to Buy) $ 17.3 ( 4 ) 03/27/2018 Common Stock 120,000 120,000 D
Stock Option (Right to Buy) $ 13.17 ( 5 ) 02/28/2029 Common Stock 120,000 120,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Kwan Rudolf
C/O ATHENEX, INC.,
1001 MAIN STREET, SUITE 600
BUFFALO, NY14203
EVP, Chief Medical Officer
Signatures
/s/ Teresa Bair, Attorney-in-Fact 09/25/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The option vests in four equal annual installments beginning on December 16, 2015.
( 2 )The option vests in four equal annual installments beginning on May 22, 2016.
( 3 )The option vests in three equal annual installments beginning on June 13, 2018.
( 4 )This option vests in four equal annual installments beginning on March 27, 2019.
( 5 )The option vests in four equal annual installments beginning on February 28, 2020.

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).

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