Steven J. Adams - Aug 3, 2021 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
Interim Chief Acct 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
8/17/2021, 04:28 PM

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 F3
transaction ATNXQ Restricted Stock Units Award $0 +12.5K $0.00 12.5K Aug 3, 2021 Common Stock 12.5K Direct F4, F5
holding ATNXQ Stock Option (Right to Buy_ 30K Aug 3, 2021 Common Stock 30K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 5K Aug 3, 2021 Common Stock 5K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 20K Aug 3, 2021 Common Stock 20K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 10K Aug 3, 2021 Common Stock 10K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 2K Aug 3, 2021 Common Stock 2K $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 8K Aug 3, 2021 Common Stock 8K $10.26 Direct F2
* 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 August 27, 2021.
F3 This option vests in four equal annual installments beginning on August 3, 2022.
F4 Each restricted stock unit represents a contingent right to receive one share of stock.
F5 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.