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

Role
Chief Scientific Officer
Signature
/s/Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Nov 16, 2021
Transactions value $
$0
Form type
4
Date filed
1/10/2022, 03:42 PM
Previous filing
Oct 27, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 5.17K 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
transaction ATNXQ Stock Option (Right to Buy) Award $0 +25K $0.00 25K Nov 16, 2021 Common Stock 25K $2.06 Direct F3
transaction ATNXQ Restricted Stock Units Award $0 +25K $0.00 25K Nov 16, 2021 Common Stock 25K Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 1.6K Nov 16, 2021 Common Stock 1.6K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 4K Nov 16, 2021 Common Stock 4K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 4.2K Nov 16, 2021 Common Stock 4.2K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 4K Nov 16, 2021 Common Stock 4K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 6.93K Nov 16, 2021 Common Stock 6.93K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 10K Nov 16, 2021 Common Stock 10K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 10K Nov 16, 2021 Common Stock 10K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 7.5K Nov 16, 2021 Common Stock 7.5K $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 24K Nov 16, 2021 Common Stock 24K $10.26 Direct F2
* 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 August 27, 2021.
F3 This option vests in four equal annual installments beginning on November 16, 2022.
F4 Each restricted stock unit represents a contingent right to receive one share of stock.
F5 The restricted stock units vest in four equal annual installments beginning on November 16, 2022.