Statement of Changes in Beneficial Ownership (4)
11 January 2022 - 8:43AM
Edgar (US Regulatory)
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 OF SECURITIES
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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
*
Smolinski Michael |
2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc.
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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)
Chief Scientific Officer |
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(Last)
(First)
(Middle)
C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/16/2021 |
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(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 | | | | | | | | 5173 | 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) | $4.55 | | | | | | | 3/26/2012 | 3/26/2022 | Common Stock | 1600 | | 1600 | D | |
| Stock Option (Right to Buy) | $4.55 | | | | | | | 1/2/2015 | 1/2/2023 | Common Stock | 4000 | | 4000 | D | |
| Stock Option (Right to Buy) | $4.55 | | | | | | | 12/31/2013 | 5/13/2023 | Common Stock | 4200 | | 4200 | D | |
| Stock Option (Right to Buy) | $4.55 | | | | | | | 9/13/2017 | 9/13/2023 | Common Stock | 4000 | | 4000 | D | |
| Stock Option (Right to Buy) | $5.50 | | | | | | | 6/30/2015 | 12/16/2024 | Common Stock | 6928 | | 6928 | D | |
| Stock Option (Right to Buy) | $5.50 | | | | | | | 12/16/2017 | 12/16/2024 | Common Stock | 10000 | | 10000 | D | |
| Stock Option (Right to Buy) | $11.00 | | | | | | | 6/13/2021 | 6/13/2027 | Common Stock | 10000 | | 10000 | D | |
| Stock Option (Right to Buy) | $17.30 | | | | | | | (1) | 3/27/2028 | Common Stock | 7500 | | 7500 | D | |
| Stock Option (Right to Buy) | $10.26 | | | | | | | (2) | 8/27/2030 | Common Stock | 24000 | | 24000 | D | |
| Stock Option (Right to Buy) | $2.06 | 11/16/2021 | | A | | 25000 | | (3) | 11/16/2031 | Common Stock | 25000 | $0.00 | 25000 | D | |
| Restricted Stock Units | (4) | 11/16/2021 | | A | | 25000 | | (5) | (5) | Common Stock | 25000 | $0.00 | 25000 | D | |
| Explanation of Responses: |
| (1) | This option vests in four equal annual installments beginning on March 27, 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 November 16, 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 November 16, 2022. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Smolinski Michael
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203 |
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| Chief Scientific Officer |
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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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