# EDGAR Filing Document

**Accession Number:** 0001300699
**File Stem:** 0001193125-23-088067
**Filing Date:** 2023-3
**Character Count:** 7359
**Document Hash:** 7ed79ebdef0143ba12b71c5f718bcd6d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-088067.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001193125-23-088067

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230330

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Athenex, Inc.
- **CENTRAL INDEX KEY:** 0001300699
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 431985966
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38112
- **FILM NUMBER:** 23787877

**BUSINESS ADDRESS:**
- **STREET 1:** 1001 MAIN STREET
- **STREET 2:** SUITE 600
- **CITY:** BUFFALO
- **STATE:** NY
- **ZIP:** 14203
- **BUSINESS PHONE:** 716-898-8625

**MAIL ADDRESS:**
- **STREET 1:** 1001 MAIN STREET
- **STREET 2:** SUITE 600
- **CITY:** BUFFALO
- **STATE:** NY
- **ZIP:** 14203

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Kinex Pharmaceuticals, Inc.
- **DATE OF NAME CHANGE:** 20131223

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Kinex Pharmaceuticals LLC
- **DATE OF NAME CHANGE:** 20040817

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### WASHINGTON, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 or 15(d)

#### of the Securities Exchange Act of 1934

#### Date of Report (Date of earliest event reported): March 30, 2023

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## ATHENEX, INC.

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-38112** | **43-1985966** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)** |

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| | |
|:---|:---|
| **1001 Main Street, Suite 600, Buffalo, New York** | **14203** |
| **(Address of principal executive offices)** | **(Zip Code)** |

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#### Registrant's telephone number, including area code: (716) 427-2950

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Exchange Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Common Stock, par value $0.001 per share | ATNX | The Nasdaq Global Select Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 5.03** | **Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.**  |

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On March 30, 2023, the Board of Directors of Athenex, Inc. (the "Company") approved an amendment to the Company's Amended and Restated Bylaws (the "Amendment"). The Amendment, which became effective immediately, reduces the quorum requirement at meetings of the Company's stockholders from a majority of the votes entitled to be cast at the meeting to one third of the votes entitled to be cast at the meeting. Similarly, when a separate vote by a class or series is required, one-third of the voting power of the class or series will constitute a quorum. This description of the Amendment does not purport to be complete and is qualified in its entirety by reference to the full text of the Amendment, a copy of which is filed as Exhibit 3.1 to this Current Report on Form 8-K and incorporated herein by reference.

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| | |
|:---|:---|
| **Item 9.01** | **Financial Statements and Exhibits.**  |

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(d) Exhibits

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| | |
|:---|:---|
| **Exhibit<br>No.** | **Description** |
| 3.1 | [Amendment No. 1 to the Amended and Restated Bylaws of Athenex, Inc.](d489703dex31.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

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#### SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **ATHENEX, INC.** | **ATHENEX, INC.** |
| Date: March 31, 2023 | /s/ Joe Annoni | /s/ Joe Annoni |
|  | Name: | Joe Annoni |
|  | Title: | Chief Financial Officer |

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## Exhibit 3.1

**Exhibit 3.1** 

**AMENDMENT NO. 1** 

**TO THE AMENDED AND RESTATED BYLAWS OF** 

**ATHENEX, INC.** 

The undersigned, in his capacity as the Chairman and Chief Executive Officer of Athenex, Inc., a Delaware corporation (the "<u>Corporation</u>"), hereby certifies on behalf of the Corporation that the following amendment to the Amended and Restated Bylaws of the Corporation (the "<u>Bylaws</u>") was duly adopted by the Board of Directors of the Corporation on March 30, 2023, pursuant to Section 9.02 of the Corporation's Amended and Restated Certificate of Incorporation and Article VIII of the Bylaws:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. Section 2.5 of the Bylaws is hereby amended and restated in its entirety to read as follows:

**Section 2.5** <u>Quorum</u>. Except as otherwise provided by law, the Certificate of Incorporation, or these Bylaws, the presence in person or by proxy of the holders of stock having one third of the votes which could be cast by the holders of all outstanding classes of stock entitled to vote at the meeting shall constitute a quorum at each meeting of stockholders. Where a separate vote by a class or classes or series is required, one third of the voting power of the shares of such class or classes or series present in person or represented by proxy shall constitute a quorum entitled to take action with respect to such vote. If a quorum is present when a meeting is convened, the subsequent withdrawal of stockholders, even though less than a quorum remains, shall not affect the ability of the remaining stockholders lawfully to transact business.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. All other provisions of the Bylaws remain in full force and effect.

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| | | |
|:---|:---|:---|
| Date: March 30, 2023 | By: | /s/ Johnson Y.N. Lau |
|  | Name: | Johnson Y.N. Lau |
|  | Title: | Chairman and Chief Executive Officer |

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