Jinn Wu - 12 Oct 2021 Form 4 Insider Report for Athenex, Inc.

Role
Director
Signature
/s/ Steven Adams, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
12 Oct 2021
Net transactions value
+$26,700
Form type
4
Filing time
13 Oct 2021, 16:37:55 UTC
Previous filing
14 Sep 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
transaction ATNXQ Common Stock Purchase $26,700 +10,000 +2.5% $2.67 413,208 01 Oct 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
holding ATNXQ Stock Option (Right to Buy) 40,000 12 Oct 2021 Common Stock 40,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 10,000 12 Oct 2021 Common Stock 10,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 54,000 12 Oct 2021 Common Stock 54,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 96,000 12 Oct 2021 Common Stock 96,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 28,500 12 Oct 2021 Common Stock 28,500 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 16,500 12 Oct 2021 Common Stock 16,500 $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 15,000 12 Oct 2021 Common Stock 15,000 $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 12,500 12 Oct 2021 Common Stock 12,500 $12.45 Direct F3
holding ATNXQ Stock Option (Right to Buy) 7,500 12 Oct 2021 Common Stock 7,500 $3.80 Direct F4
holding ATNXQ Restricted Stock Units 7,500 12 Oct 2021 Common Stock 7,500 Direct F5, F6
* 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 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 on August 3, 2022.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney