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

Role
EVP, Chief Medical 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, 05:14 PM
Previous filing
May 7, 2021
Next filing
Nov 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 170K Aug 3, 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 +70K $0.00 70K Aug 3, 2021 Common Stock 70K $3.80 Direct F5
transaction ATNXQ Restricted Stock Units Award $0 +70K $0.00 70K Aug 3, 2021 Common Stock 70K Direct F6, F7
holding ATNXQ Stock Option (Right to Buy) 24K Aug 3, 2021 Common Stock 24K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 96K Aug 3, 2021 Common Stock 96K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K Aug 3, 2021 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Aug 3, 2021 Common Stock 120K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K Aug 3, 2021 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200K Aug 3, 2021 Common Stock 200K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Aug 3, 2021 Common Stock 120K $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140K Aug 3, 2021 Common Stock 140K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Aug 3, 2021 Common Stock 120K $17.30 Direct F2
holding ATNXQ Stock Option (Right to Buy) 120K Aug 3, 2021 Common Stock 120K $13.17 Direct F3
holding ATNXQ Stock Option (Right to Buy) 140K Aug 3, 2021 Common Stock 140K $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.