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

Role
Chief Scientific Officer
Signature
/s/Steven Adams, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
16 Nov 2021
Net transactions value
$0
Form type
4
Filing time
10 Jan 2022, 15:42:37 UTC
Previous filing
27 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ATNXQ Common Stock 5,173 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
transaction ATNXQ Stock Option (Right to Buy) Award $0 +25,000 $0.000000 25,000 16 Nov 2021 Common Stock 25,000 $2.06 Direct F3
transaction ATNXQ Restricted Stock Units Award $0 +25,000 $0.000000 25,000 16 Nov 2021 Common Stock 25,000 Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 1,600 16 Nov 2021 Common Stock 1,600 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 4,000 16 Nov 2021 Common Stock 4,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 4,200 16 Nov 2021 Common Stock 4,200 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 4,000 16 Nov 2021 Common Stock 4,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 6,928 16 Nov 2021 Common Stock 6,928 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 10,000 16 Nov 2021 Common Stock 10,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 10,000 16 Nov 2021 Common Stock 10,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 7,500 16 Nov 2021 Common Stock 7,500 $17.30 Direct F1
holding ATNXQ Stock Option (Right to Buy) 24,000 16 Nov 2021 Common Stock 24,000 $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.