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

Role
EVP, Chief Medical Officer
Signature
/s/ Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Nov 16, 2021
Transactions value $
$8,200
Form type
4
Date filed
11/17/2021, 03:20 PM
Previous filing
Aug 5, 2021
Next filing
Mar 29, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Purchase $8.2K +4K +2.36% $2.05 174K Nov 16, 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) 96K Nov 16, 2021 Common Stock 96K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K Nov 16, 2021 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Nov 16, 2021 Common Stock 120K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K Nov 16, 2021 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200K Nov 16, 2021 Common Stock 200K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Nov 16, 2021 Common Stock 120K $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140K Nov 16, 2021 Common Stock 140K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Nov 16, 2021 Common Stock 120K $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 120K Nov 16, 2021 Common Stock 120K $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 140K Nov 16, 2021 Common Stock 140K $12.45 Direct F3
holding ATNXQ Stock Option (Right to Buy) 70K Nov 16, 2021 Common Stock 70K $3.80 Direct F4
holding ATNXQ Restricted Stock Units 70K Nov 16, 2021 Common Stock 70K 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