Initial Statement of Beneficial Ownership (3)
02 December 2021 - 09:08AM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Lang Daniel |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/22/2021
|
3. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ATNX]
|
(Last)
(First)
(Middle)
C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Pres Cell Therapy, VP Corp Dev / |
(Street)
BUFFALO, NY 14203
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 73413 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | (2) | 8/27/2030 | Common Stock | 40000 | $10.25 | D | |
Stock Option (Right to Buy) | (3) | 9/16/2031 | Common Stock | 50000 | $2.77 | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 50000 | (5) | D | |
Explanation of Responses: |
(1) | Includes 30,000 shares subject to a restricted stock award vesting in four equal installments beginning on August 26, 2020. |
(2) | This option vests in four equal annual installments beginning on August 27, 2021. |
(3) | This option vests in four equal annual installments beginning on September 16, 2022. |
(4) | The restricted stock units vest in four equal annual installments beginning on September 16, 2022. |
(5) | Each restricted stock unit represents a contingent right to receive one share of stock. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lang Daniel C/O ATHENEX, INC., 1001 MAIN STREET SUITE 600 BUFFALO, NY 14203 |
|
| Pres Cell Therapy, VP Corp Dev |
|
Signatures
|
/s/Steven Adams, Attorney-in-Fact | | 12/1/2021 |
**Signature of Reporting Person | Date |
Athenex (NASDAQ:ATNX)
Historical Stock Chart
From Feb 2024 to Mar 2024
Athenex (NASDAQ:ATNX)
Historical Stock Chart
From Mar 2023 to Mar 2024