Athenex (ATNXQ) Form 4 Athenex / Daniel Lang 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^*

Lang Daniel

(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)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Pres Cell Therapy, VP Corp Dev

3. Date of Earliest Transaction (Month/Day/Year)
09/16/2022

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	09/16/2022		M		12,500	A	(1)	85,913(2)	D
Common Stock	09/16/2022		F		4,323	D	$0.4086	81,590(2)	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)	$10.25							(3)	08/27/2030	Common Stock	40,000		40,000	D
Stock Option (Right to Buy)	$2.77							(4)	09/16/2031	Common Stock	50,000		50,000	D
Restricted Stock Units	(1)	09/16/2022		M			12,500	(5)	(5)	Common Stock	12,500	$0.00	37,500	D
Stock Option (Right to Buy)	$0.6655							(6)	07/20/2032	Common Stock	200,000		200,000	D

Explanation of Responses:

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

2. Includes 30,000 shares subject to a restricted stock award vesting in four equal annual installments beginning on August 26, 2020.

3. This option vests in four equal annual installments beginning on August 27, 2021.

4. This option vests in four equal annual installments beginning on September 16, 2022.

5. The restricted stock units vest in four equal annual installments beginning on September 16, 2022.

6. This option vests in four equal annual installments beginning on July 20, 2023.

Remarks:

	/s/Steven Adams, Attorney-in-Fact	09/19/2022
	** 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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