Rudolf Kwan - 16 Nov 2021 Form 4 Insider Report for Athenex, Inc.

Role
EVP, Chief Medical Officer
Signature
/s/ Steven Adams, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
16 Nov 2021
Net transactions value
+$8,200
Form type
4
Filing time
17 Nov 2021, 15:20:22 UTC
Previous filing
05 Aug 2021
Next filing
29 Mar 2022
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 $8,200 +4,000 +2.4% $2.05 173,648 16 Nov 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) 96,000 16 Nov 2021 Common Stock 96,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 16 Nov 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 16 Nov 2021 Common Stock 120,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 16 Nov 2021 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200,000 16 Nov 2021 Common Stock 200,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 16 Nov 2021 Common Stock 120,000 $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140,000 16 Nov 2021 Common Stock 140,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 16 Nov 2021 Common Stock 120,000 $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 120,000 16 Nov 2021 Common Stock 120,000 $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 140,000 16 Nov 2021 Common Stock 140,000 $12.45 Direct F3
holding ATNXQ Stock Option (Right to Buy) 70,000 16 Nov 2021 Common Stock 70,000 $3.80 Direct F4
holding ATNXQ Restricted Stock Units 70,000 16 Nov 2021 Common Stock 70,000 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 The option vests in four equal annual installments beginning 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 in four equal annual installments beginning on August 3, 2022.

Remarks:

Exhibit List: Exhibit 24.1 - Power of Attorney