Rudolf Kwan - 03 Aug 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
03 Aug 2021
Net transactions value
$0
Form type
4
Filing time
05 Aug 2021, 17:14:45 UTC
Previous filing
07 May 2021
Next filing
17 Nov 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 169,648 03 Aug 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) Award $0 +70,000 $0.000000 70,000 03 Aug 2021 Common Stock 70,000 $3.80 Direct F5
transaction ATNXQ Restricted Stock Units Award $0 +70,000 $0.000000 70,000 03 Aug 2021 Common Stock 70,000 Direct F6, F7
holding ATNXQ Stock Option (Right to Buy) 24,000 03 Aug 2021 Common Stock 24,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 96,000 03 Aug 2021 Common Stock 96,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 03 Aug 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 03 Aug 2021 Common Stock 120,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 03 Aug 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200,000 03 Aug 2021 Common Stock 200,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 03 Aug 2021 Common Stock 120,000 $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140,000 03 Aug 2021 Common Stock 140,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 03 Aug 2021 Common Stock 120,000 $17.30 Direct F2
holding ATNXQ Stock Option (Right to Buy) 120,000 03 Aug 2021 Common Stock 120,000 $13.17 Direct F3
holding ATNXQ Stock Option (Right to Buy) 140,000 03 Aug 2021 Common Stock 140,000 $12.45 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 1,880 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 This option vests in four equal annual installments beginning on June 5, 2021.
F5 The option vests in four equal annual installments beginning on August 3, 2022.
F6 Each restricted stock unit represents a contingent right to receive one share of stock.
F7 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.