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

Role
Director
Signature
/s/ Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Oct 12, 2021
Transactions value $
$26,700
Form type
4
Date filed
10/13/2021, 04:37 PM
Previous filing
Sep 14, 2021
Next filing
Nov 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Purchase $26.7K +10K +2.48% $2.67 413K Oct 1, 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) 40K Oct 12, 2021 Common Stock 40K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 10K Oct 12, 2021 Common Stock 10K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 54K Oct 12, 2021 Common Stock 54K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 96K Oct 12, 2021 Common Stock 96K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 28.5K Oct 12, 2021 Common Stock 28.5K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 16.5K Oct 12, 2021 Common Stock 16.5K $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 15K Oct 12, 2021 Common Stock 15K $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 12.5K Oct 12, 2021 Common Stock 12.5K $12.45 Direct F3
holding ATNXQ Stock Option (Right to Buy) 7.5K Oct 12, 2021 Common Stock 7.5K $3.80 Direct F4
holding ATNXQ Restricted Stock Units 7.5K Oct 12, 2021 Common Stock 7.5K 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