Jeffrey Yordon - Aug 3, 2022 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
COO, and President, Athenex Pharmaceutical Division.
Signature
/s/Staci Holquist, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Aug 3, 2022
Transactions value $
-$2,127
Form type
4
Date filed
8/15/2022, 05:34 PM
Previous filing
Jul 21, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Options Exercise +12.5K +5.27% 250K Aug 3, 2022 Direct F1
transaction ATNXQ Common Stock Tax liability -$2.13K -3.66K -1.47% $0.58* 246K Aug 3, 2022 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 Restricted Stock Units Options Exercise $0 +12.5K +50% $0.00 37.5K Aug 3, 2022 Common Stock 12.5K Direct F1, F5
holding ATNXQ Stock Option (Right to Buy) 150K Aug 3, 2022 Common Stock 150K $9.00 Direct
holding ATNXQ Stock Option (Right to Buy) 212K Aug 3, 2022 Common Stock 212K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 100K Aug 3, 2022 Common Stock 100K $17.30 Direct
holding ATNXQ Stock Option (Right to Buy) 100K Aug 3, 2022 Common Stock 100K $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 100K Aug 3, 2022 Common Stock 100K $12.45 Direct F3
holding ATNXQ Stock Option (Right to Buy) 50K Aug 3, 2022 Common Stock 50K $3.80 Direct F4
holding ATNXQ Stock Option (Right to Buy) 150K Aug 3, 2022 Common Stock 150K $0.67 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one share of stock.
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 This option vests in four equal annual installments beginning on August 3, 2022.
F5 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
F6 This option vests in four equal annual installments beginning on July 20, 2023.

Remarks:

COO, and President, Athenex Pharmaceutical Division.