Rudolf Kwan - May 7, 2021 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
EVP, Chief Medical Officer
Signature
/s/ Teresa Bair, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
May 7, 2021
Transactions value $
$109,200
Form type
4
Date filed
5/7/2021, 04:58 PM
Next filing
Aug 5, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Options Exercise $109K +24K +16.69% $4.55 168K May 7, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ATNXQ Stock Option (Right to Buy) Options Exercise $0 -24K -50% $0.00 24K May 7, 2021 Common Stock 24K $4.55 Direct
transaction ATNXQ Stock Option (Right to Buy) Award $0 +140K $0.00 140K Jun 5, 2020 Common Stock 140K $12.45 Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 96K May 7, 2021 Common Stock 96K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K May 7, 2021 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120K May 7, 2021 Common Stock 120K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K May 7, 2021 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200K May 7, 2021 Common Stock 200K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120K May 7, 2021 Common Stock 120K $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140K May 7, 2021 Common Stock 140K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120K May 7, 2021 Common Stock 120K $17.30 Direct F2
holding ATNXQ Stock Option (Right to Buy) 120K May 7, 2021 Common Stock 120K $13.17 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 469 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan.
F2 This option vests in four equal annual installments beginning on March 27, 2019.
F3 This option vests in four equal annual installments beginning on February 28, 2020.
F4 These options were granted contingent on receiving shareholder approval of the Amended and Restated 2017 Omnibus Incentive Plan, which approval was received on June 5, 2020.
F5 This option vests in four equal annual installments beginning on June 5, 2021.