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ATNX Athenex Inc

0.2031
0.00 (0.00%)
After Hours
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Athenex Inc NASDAQ:ATNX NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.2031 0.2032 0.2033 0 01:00:00

Initial Statement of Beneficial Ownership (3)

23/06/2020 12:15pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Bair Teresa Brophy
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/15/2020 

3. Issuer Name and Ticker or Trading Symbol

Athenex, Inc. [ATNX]
(Last)        (First)        (Middle)

C/O ATHENEX, INC., 1001 MAIN STREET, SUITE 600
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          _____ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
General Counsel, SVP Admin. /
(Street)

BUFFALO, NY 14203      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy) 5/22/2018 5/22/2025 Common Stock 128000 $7.50 D  
Stock Option (Right to Buy)  (1)6/13/2027 Common Stock 15000 $11.00 D  
Stock Option (Right to Buy)  (2)3/27/2028 Common Stock 20000 $17.30 D  

Explanation of Responses:
(1) This option vests in four equal annual installments beginning on June 13, 2018.
(2) This option vests in four equal annual installments beginning on March 27, 2019.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Bair Teresa Brophy
C/O ATHENEX, INC.
1001 MAIN STREET, SUITE 600
BUFFALO, NY 14203


General Counsel, SVP Admin.

Signatures
Teresa Brophy Bair6/23/2020
**Signature of Reporting PersonDate

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