William Wei Zuo - Aug 3, 2021 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
President, China Division
Signature
/s/ Teresa Bair, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Aug 3, 2021
Transactions value $
$0
Form type
4
Date filed
8/5/2021, 04:46 PM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 143K Aug 3, 2021 Direct

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) Award $0 +12.5K $0.00 12.5K Aug 3, 2021 Common Stock 12.5K $3.80 Direct F4
transaction ATNXQ Restricted Stock Unit Award $0 +12.5K $0.00 12.5K Aug 3, 2021 Common Stock 12.5K Direct F5, F6
holding ATNXQ Stock Option (Right to Buy) 120K Aug 3, 2021 Common Stock 120K $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 1 Aug 3, 2021 Common Stock 1 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 25K Aug 3, 2021 Common Stock 25K $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 25K Aug 3, 2021 Common Stock 25K $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 25K Aug 3, 2021 Common Stock 25K $12.45 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This option vests in four equal annual installments beginning on March 27, 2019.
F2 The option vests in four equal annual installments beginning on February 28, 2020.
F3 This option vests in four equal annual installments beginning on June 5, 2021.
F4 This option vests in four equal annual installments beginning on August 3, 2022.
F5 Each restricted stock unit represents a contingent right to receive one share of stock.
F6 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.