Rudolf Kwan - 25 Mar 2022 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
25 Mar 2022
Net transactions value
+$4,900
Form type
4
Filing time
29 Mar 2022, 17:09:13 UTC
Previous filing
17 Nov 2021
Next filing
11 Apr 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 Award $4,900 +5,422 +3.1% $0.9038 179,070 25 Mar 2022 Direct F1, F2

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 25 Mar 2022 Common Stock 96,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 25 Mar 2022 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 25 Mar 2022 Common Stock 120,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 25 Mar 2022 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200,000 25 Mar 2022 Common Stock 200,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 25 Mar 2022 Common Stock 120,000 $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140,000 25 Mar 2022 Common Stock 140,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 25 Mar 2022 Common Stock 120,000 $17.30 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 25 Mar 2022 Common Stock 120,000 $13.17 Direct F3
holding ATNXQ Stock Option (Right to Buy) 140,000 25 Mar 2022 Common Stock 140,000 $12.45 Direct F4
holding ATNXQ Stock Option (Right to Buy) 70,000 25 Mar 2022 Common Stock 70,000 $3.80 Direct F5
holding ATNXQ Restricted Stock Units 70,000 25 Mar 2022 Common Stock 70,000 Direct F6, F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares purchased from the Issuer under a Salary Reduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase.
F2 Includes 1 share acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan.
F3 This option vests in four equal annual installments beginning on February 28, 2020.
F4 This option vests in four equal annual installments beginning on June 5, 2021.
F5 The option vests in four equal annual installments beginning on August 3, 2022.
F6 Each restricted stock unit represents a contingent right to receive one share of stock.
F7 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.