SEC Form 4 · accession 0001209191-19-016635

Athenex, Inc. · ATNX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Mar 27, 2018

Accepted (ET)

Mar 5, 2019 · 4:50 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 Stock^F1,F2	holding	—	—		—	711,333	I	By PacBridge Partners V Investment Co Ltd.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F4	$17.30	Mar 27, 2018	A	19,500	A	—	Mar 27, 2028	Common Stock	19,500	19,500	D
Stock Option (Right to Buy)^F3	$11.00	holding	—	—	—	—	Jun 13, 2027	Common Stock	19,500	19,500	D
Stock Option (Right to Buy)^F5	$13.17	holding	—	—	—	—	Feb 28, 2029	Common Stock	17,500	17,500	D

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.
F4This option vests in four equal annual installments beginning on March 27, 2019.
F5The option vests in four equal annual installments beginning on February 28, 2020.