Daniel Lang - Sep 16, 2022 Form 4 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
Sep 16, 2022
Transactions value $
-$1,766
Form type
4
Date filed
9/19/2022, 04:19 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 +17.03% 85.9K Sep 16, 2022 Direct F1, F2
transaction ATNXQ Common Stock Tax liability -$1.77K -4.32K -5.03% $0.41* 81.6K Sep 16, 2022 Direct 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
transaction ATNXQ Restricted Stock Units Options Exercise $0 -12.5K -25% $0.00 37.5K Sep 16, 2022 Common Stock 12.5K Direct F1, F5
holding ATNXQ Stock Option (Right to Buy) 40K Sep 16, 2022 Common Stock 40K $10.25 Direct F3
holding ATNXQ Stock Option (Right to Buy) 50K Sep 16, 2022 Common Stock 50K $2.77 Direct F4
holding ATNXQ Stock Option (Right to Buy) 200K Sep 16, 2022 Common Stock 200K $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 Includes 30,000 shares subject to a restricted stock award vesting in four equal annual installments beginning on August 26, 2020.
F3 This option vests in four equal annual installments beginning on August 27, 2021.
F4 This option vests in four equal annual installments beginning on September 16, 2022.
F5 The restricted stock units vest in four equal annual installments beginning on September 16, 2022.
F6 This option vests in four equal annual installments beginning on July 20, 2023.