SEC Form 4 · accession 0001209191-19-015867
Athenex, Inc. · ATNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sheldon Trainor-Degirolamo
Director
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 6:03 pm EST
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 | holding | — | — | — | 711,333 | 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)F4 | $13.17 | Feb 28, 2019 | A | 17,500 | A | — | Feb 28, 2029 | Common Stock | 17,500 | 17,500 | D |
| Stock Option (Right to Buy)F3 | $11.00 | holding | — | — | — | — | Jun 13, 2027 | Common Stock | 19,500 | 19,500 | D |
Explanation of responses
- F1These 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.
- F2Mr. 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.
- F3The option vests in four equal annual installments beginning on June 13, 2018.
- F4The option vests in four equal annual installments beginning on February 28, 2020.