Steven J. Adams - 03 Aug 2021 Form 4 Insider Report for Athenex, Inc.

Role
Interim Chief Acct 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
17 Aug 2021, 16:28:28 UTC
SEC
View on sec.gov

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 +12,500 $0.000000 12,500 03 Aug 2021 Common Stock 12,500 $3.80 Direct F3
transaction ATNXQ Restricted Stock Units Award $0 +12,500 $0.000000 12,500 03 Aug 2021 Common Stock 12,500 Direct F4, F5
holding ATNXQ Stock Option (Right to Buy_ 30,000 03 Aug 2021 Common Stock 30,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 5,000 03 Aug 2021 Common Stock 5,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 20,000 03 Aug 2021 Common Stock 20,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 10,000 03 Aug 2021 Common Stock 10,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 2,000 03 Aug 2021 Common Stock 2,000 $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 8,000 03 Aug 2021 Common Stock 8,000 $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.