Timothy DeVere Cook - Oct 21, 2022 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
Chief Business and Commercial Officer, Proprietary Drugs
Signature
/s/Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Oct 21, 2022
Transactions value $
$500
Form type
4
Date filed
10/24/2022, 04:45 PM
Previous filing
Oct 12, 2022
Next filing
Nov 8, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $500 +2.75K +15.2% $0.18 20.8K Oct 21, 2022 Direct F1

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) 70K Oct 21, 2022 Common Stock 70K $17.29 Direct
holding ATNXQ Stock Option (Right to Buy) 30K Oct 21, 2022 Common Stock 30K $10.26 Direct F2
holding ATNXQ Stock Option (Right to Buy) 9K Oct 21, 2022 Common Stock 9K $3.56 Direct F3
holding ATNXQ Restricted Stock Units 6.75K Oct 21, 2022 Common Stock 6.75K Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 75K Oct 21, 2022 Common Stock 75K $0.67 Direct F6
* 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 Deduction and Stock Purchase Agreement at the Nasdaq Official Closing Price on the date of purchase.
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 September 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 September 16, 2022.
F6 This option vests in four equal annual installments beginning on July 20, 2023.

Remarks:

Chief Business and Commercial Officer, Proprietary Drugs