Athenex (ATNXQ) Form 4 Athenex / JINN WU ownership change

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

WU JINN

(Last) (First) (Middle)

C/O ATHENEX, INC.

1001 MAIN STREET, SUITE 600

(Street)

BUFFALO NY 14203

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Athenex, Inc. [ ATNX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
07/20/2022

4. If Amendment, Date of Original Filed (Month/Day/Year)

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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	07/20/2022		A		12,772(1)	A	$0.6655	467,283	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	$4.55							01/02/2013	01/02/2023	Common Stock	40,000		40,000	D
Stock Option (Right to Buy)	$4.55							02/12/2014	02/12/2024	Common Stock	10,000		10,000	D
Stock Option (Right to Buy)	$5.5							02/05/2015	02/05/2025	Common Stock	54,000		54,000	D
Stock Option (Right to Buy)	$5.5							03/20/2017	03/20/2025	Common Stock	96,000		96,000	D
Stock Option (Right to Buy)	$11							06/13/2021	06/13/2027	Common Stock	28,500		28,500	D
Stock Option (Right to Buy)	$17.3							03/27/2022	03/27/2028	Common Stock	16,500		16,500	D
Stock Option (Right to Buy)	$13.17							(2)	02/28/2029	Common Stock	15,000		15,000	D
Stock Option (Right to Buy)	$12.45							(3)	06/05/2030	Common Stock	12,500		12,500	D
Stock Option (Right to Buy)	$3.8							(4)	08/03/2031	Common Stock	7,500		7,500	D
Restricted Stock Units	(5)							(6)	(6)	Common Stock	7,500		7,500	D
Stock Option (Right to Buy)	$0.457							(7)	06/28/2032	Common Stock	15,000		15,000	D

Explanation of Responses:

1. Shares purchased from the Issuer under a Salary Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase.

2. This option vests in four equal annual installments beginning on February 28, 2020.

3. This option vests in four equal annual installments beginning on June 5, 2021.

4. This option vests on August 3, 2022.

5. Each restricted stock unit represents a contingent right to receive one share of stock.

6. The restricted stock units vest on August 3, 2022.

7. This option vests on June 28, 2023.

Remarks:

	/s/ Steven Adams, Attorney-in-Fact	07/21/2022
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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