SEC Form 4 · accession 0001209191-18-032968
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sheldon Trainor-Degirolamo
Director
Period of report
May 15, 2018
Accepted (ET)
May 24, 2018 · 4:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001300699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | May 15, 2018 | S | 38,047 | $17.00 | D | 905,287 | I | By PacBridge Partners V Investment Co Ltd. |
| Common StockF4,F2,F3 | May 17, 2018 | S | 989 | $17.01 | D | 904,298 | I | By PacBridge Partners V Investment Co Ltd. |
| Common StockF5,F2,F3 | May 18, 2018 | S | 38,729 | $17.01 | D | 865,569 | I | By PacBridge Partners V Investment Co Ltd. |
| Common StockF6,F2,F3 | May 21, 2018 | S | 23,920 | $17.01 | D | 841,649 | I | By PacBridge Partners V Investment Co Ltd. |
| Common StockF7,F2,F3 | May 22, 2018 | S | 5,419 | $17.00 | D | 836,230 | I | By PacBridge Partners V Investment Co Ltd. |
| Common StockF8,F2,F3 | May 23, 2018 | S | 14,584 | $17.03 | D | 821,646 | I | By PacBridge Partners V Investment Co Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F9 | $11.00 | holding | — | — | — | — | Jun 14, 2027 | Common Stock | 19,500 | 19,500 | D |
Explanation of responses
- F1This transaction was executed in multiple trades ranging from $17.00 to $17.04. 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.
- F2These shares are held for the account of PacBridge Partners V Investment Co Ltd. Sheldon Trainor-Degirolamo ("Mr. Trainor-Degirolamo") is the sole director and shareholder of PacBridge Partners V Investment Co Ltd. and has sole voting and dispositive power over the shares held by it.
- F3Mr. Trainor-Degirolamo disclaims beneficial ownership of the reported securities except to the extent, if any, of its or his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Trainor-Degirolamo is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F4This transaction was executed in multiple trades ranging from $17.00 to $17.01. 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.
- F5This transaction was executed in multiple trades ranging from $17.00 to $17.07. 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.
- F6This transaction was executed in multiple trades ranging from $17.00 to $17.05. 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.
- F7This transaction was executed in multiple trades ranging from $17.00 to $17.02. 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.
- F8This transaction was executed in multiple trades ranging from $17.00 to $17.10. 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.
- F9The option vests in four equal annual installments beginning on June 14, 2018.