Rudolf Kwan - 07 May 2021 Form 4 Insider Report for Athenex, Inc.

Role
EVP, Chief Medical Officer
Signature
/s/ Teresa Bair, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
07 May 2021
Net transactions value
+$109,200
Form type
4
Filing time
07 May 2021, 16:58:57 UTC
Next filing
05 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Options Exercise $109,200 +24,000 +17% $4.55 167,768 07 May 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 -24,000 -50% $0.000000 24,000 07 May 2021 Common Stock 24,000 $4.55 Direct
transaction ATNXQ Stock Option (Right to Buy) Award $0 +140,000 $0.000000 140,000 05 Jun 2020 Common Stock 140,000 $12.45 Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 96,000 07 May 2021 Common Stock 96,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 07 May 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 07 May 2021 Common Stock 120,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 07 May 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200,000 07 May 2021 Common Stock 200,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 07 May 2021 Common Stock 120,000 $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140,000 07 May 2021 Common Stock 140,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 07 May 2021 Common Stock 120,000 $17.30 Direct F2
holding ATNXQ Stock Option (Right to Buy) 120,000 07 May 2021 Common Stock 120,000 $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.