Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-049967
Date:2021-08-03
Issuer: ATHENEX, INC. (ATNX)
Original Submission Date:

Reporting Person:

WU JINN
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 2021-08-03 0 $0.00 353,208 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) 3.8 2021-08-03 deemed execution date A 7,500 (a) 2031-08-03 common stock 7,500 $3.80 7,500 direct
RESTRICTED STOCK UNITS 0.0 2021-08-03 deemed execution date A 7,500 (a) common stock 7,500 $0.00 7,500 direct
STOCK OPTION (RIGHT TO BUY) 4.55 deemed execution date 0 ( ) 2013-01-02 2023-01-02 common stock 40,000 $4.55 40,000 direct
STOCK OPTION (RIGHT TO BUY) 4.55 deemed execution date 0 ( ) 2014-02-12 2024-02-12 common stock 10,000 $4.55 10,000 direct
STOCK OPTION (RIGHT TO BUY) 5.5 deemed execution date 0 ( ) 2015-02-05 2025-02-05 common stock 54,000 $5.50 54,000 direct
STOCK OPTION (RIGHT TO BUY) 5.5 deemed execution date 0 ( ) 2017-03-20 2025-03-20 common stock 96,000 $5.50 96,000 direct
STOCK OPTION (RIGHT TO BUY) 11.0 deemed execution date 0 ( ) 2021-06-13 2027-06-13 common stock 28,500 $11.00 28,500 direct
STOCK OPTION (RIGHT TO BUY) 17.3 deemed execution date 0 ( ) 2028-03-27 common stock 16,500 $17.30 16,500 direct
STOCK OPTION (RIGHT TO BUY) 13.17 deemed execution date 0 ( ) 2029-02-28 common stock 15,000 $13.17 15,000 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 option vests in four equal annual installments beginning on march 27, 2019.
f2 this option vests in four equal annual installments beginning on february 28, 2020.
f3 this option vests in four equal annual installments beginning on june 5, 2021.
f4 this option vests on august 3, 2022.
f5 each restricted stock unit represents a contingent right to receive one share of stock.
f6 the restricted stock units vest on august 3, 2022.

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