Initial Statement of Beneficial Ownership (3)
11 January 2022 - 8:32AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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
*
Cook Timothy DeVere |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/22/2021
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3. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ATNX]
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(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)
See Remarks / |
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(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
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Table I - Non-Derivative Securities Beneficially Owned
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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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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) | (1) | 8/16/2028 | Common Stock | 70000 | $17.29 | D | |
| Stock Option (Right to Buy) | (2) | 8/27/2030 | Common Stock | 30000 | $10.26 | D | |
| Stock Option (Right to Buy) | (3) | 9/16/2031 | Common Stock | 9000 | $3.56 | D | |
| Restricted Stock Units | (4) | (4) | Common Stock | 9000 | (5) | D | |
| Explanation of Responses: |
| (1) | This option vests in four equal annual installments beginning on August 17, 2019. |
| (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. |
Remarks:
Chief Business and Commercial Officer, Proprietary Drugs
Exhibit List: Exhibit 24.1 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Cook Timothy DeVere
C/O ATHENEX, INC., 1001 MAIN STREET
SUITE 600
BUFFALO, NY 14203 |
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| See Remarks |
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Signatures
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| /s/Steven Adams, Attorney-in-Fact | | 1/10/2022 |
| **Signature of Reporting Person | Date |
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