Simon Pedder - Aug 3, 2021 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role: Officer
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, 05:07 PM

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
holding	ATNXQ	Common Stock						5.31K	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	+30K		$0.00	30K	Aug 3, 2021	Common Stock	30K	$3.80	Direct	F4
transaction	ATNXQ	Restricted Stock Units	Award	$0	+30K		$0.00	30K	Aug 3, 2021	Common Stock	30K		Direct	F5, F6
holding	ATNXQ	Stock Option (Right to Buy)						20K	Aug 3, 2021	Common Stock	20K	$4.55	Direct
holding	ATNXQ	Stock Option (Right to Buy)						100K	Aug 3, 2021	Common Stock	100K	$9.00	Direct
holding	ATNXQ	Stock Option (Right to Buy)						130K	Aug 3, 2021	Common Stock	130K	$11.00	Direct
holding	ATNXQ	Stock Option (Right to Buy)						60K	Aug 3, 2021	Common Stock	60K	$17.30	Direct	F1
holding	ATNXQ	Stock Option (Right to Buy)						60K	Aug 3, 2021	Common Stock	60K	$13.17	Direct	F2
holding	ATNXQ	Stock Option (Right to Buy)						60K	Aug 3, 2021	Common Stock	60K	$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	This 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.