Filing Details
- Accession Number:
- 0001209191-18-036041
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-06-06 16:06:33
- Reporting Period:
- 2018-06-05
- Accepted Time:
- 2018-06-06 16:06:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1300699 | Athenex Inc. | ATNX | Pharmaceutical Preparations (2834) | 431985966 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1708966 | Sheldon Trainor-Degirolamo | C/O Athenex, Inc. 1001 Main Street, Suite 600 Buffalo NY 14203 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2018-06-05 | 57,421 | $16.82 | 723,734 | No | 4 | S | Indirect | By PacBridge Partners V Investment Co Ltd. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By PacBridge Partners V Investment Co Ltd. |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $11.00 | 2027-06-14 | 19,500 | 19,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2027-06-14 | 19,500 | 19,500 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $16.80 to $16.94. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
- These 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.
- Mr. 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.
- The option vests in four equal annual installments beginning on June 14, 2018.
Billionaire Hedge Funds
