Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-031230
Date:2021-05-06
Issuer: ATHENEX, INC. (ATNX)
Original Submission Date:

Reporting Person:

VIERLING JOHN
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600 BUFFALO, NY 14203

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-05-07 P 250 a $4.50 3,750 direct
COMMON STOCK 2021-05-06 P 1,700 a $4.04 3,500 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 12.06 deemed execution date 0 ( ) 2029-04-01 common stock 10,000 $12.06 10,000 direct
STOCK OPTION (RIGHT TO BUY) 11.49 deemed execution date 0 ( ) 2029-04-03 common stock 2,500 $11.49 2,500 direct
STOCK OPTION (RIGHT TO BUY) 12.45 deemed execution date 0 ( ) 2030-06-05 common stock 12,500 $12.45 12,500 direct
Footnotes
IDfootnote
f1 this transaction was executed in multiple trades ranging from $4.030 to $4.0399, inclusive. the price reported in column 4 is a weighted average price. the reporting person hereby undertakes to provide upon request to the sec staff, the issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
f2 this option vests in four equal annual installments beginning on april 1, 2020.
f3 this option vests in four equal annual installments beginning on april 3, 2020.
f4 this option vests in four equal annual installments beginning on june 5, 2021.

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