Daniel Lang - Nov 22, 2021 Form 3 Insider Report for Athenex, Inc. (ATNXQ)

Role
Pres Cell Therapy, VP Corp Dev
Signature
/s/Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Nov 22, 2021
Transactions value $
$0
Form type
3
Date filed
12/1/2021, 04:07 PM
Next filing
Jul 21, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 73.4K Nov 22, 2021 Direct F1

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) Nov 22, 2021 Common Stock 40K $10.25 Direct F2
holding ATNXQ Stock Option (Right to Buy) Nov 22, 2021 Common Stock 50K $2.77 Direct F3
holding ATNXQ Restricted Stock Units Nov 22, 2021 Common Stock 50K Direct F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes 30,000 shares subject to a restricted stock award vesting in four equal installments beginning on August 26, 2020.
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 September 16, 2022.
F4 The restricted stock units vest in four equal annual installments beginning on September 16, 2022.
F5 Each restricted stock unit represents a contingent right to receive one share of stock.