Filing Details

Accession Number:
0001209191-18-036335
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-06-07 16:18:28
Reporting Period:
2018-06-06
Accepted Time:
2018-06-07 16:18:28
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 2018-06-06 12,401 $16.81 711,333 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
  1. This transaction was executed in multiple trades ranging from $16.80 to $16.85. 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.
  2. 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.
  3. 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.
  4. The option vests in four equal annual installments beginning on June 14, 2018.