John Vierling - May 6, 2021 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
Director
Signature
/s/Teresa Bair, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
May 6, 2021
Transactions value $
$7,988
Form type
4
Date filed
5/10/2021, 04:19 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 Purchase $1.13K +250 +7.14% $4.50* 3.75K May 7, 2021 Direct
transaction ATNXQ Common Stock Purchase $6.86K +1.7K +94.44% $4.04* 3.5K May 6, 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
holding ATNXQ Stock Option (Right to Buy) 10K May 6, 2021 Common Stock 10K $12.06 Direct F2
holding ATNXQ Stock Option (Right to Buy) 2.5K May 6, 2021 Common Stock 2.5K $11.49 Direct F3
holding ATNXQ Stock Option (Right to Buy) 12.5K May 6, 2021 Common Stock 12.5K $12.45 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed in multiple trades ranging from $4.030 to $4.0399, inclusive. 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.
F2 This option vests in four equal annual installments beginning on April 1, 2020.
F3 This option vests in four equal annual installments beginning on April 3, 2020.
F4 This option vests in four equal annual installments beginning on June 5, 2021.