Rudolf Kwan - Dec 30, 2022 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
EVP, Chief Medical Officer
Signature
/s/ Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Dec 30, 2022
Transactions value $
$4,900
Form type
4
Date filed
1/3/2023, 06:51 AM
Previous filing
Dec 20, 2022
Next filing
Jan 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $4.9K +33.2K +6.57% $0.15 539K Dec 30, 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) 96K Dec 30, 2022 Common Stock 96K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K Dec 30, 2022 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Dec 30, 2022 Common Stock 120K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48K Dec 30, 2022 Common Stock 48K $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200K Dec 30, 2022 Common Stock 200K $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Dec 30, 2022 Common Stock 120K $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140K Dec 30, 2022 Common Stock 140K $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Dec 30, 2022 Common Stock 120K $17.30 Direct
holding ATNXQ Stock Option (Right to Buy) 120K Dec 30, 2022 Common Stock 120K $13.17 Direct F3
holding ATNXQ Stock Option (Right to Buy) 140K Dec 30, 2022 Common Stock 140K $12.45 Direct F4
holding ATNXQ Stock Option (Right to Buy) 70K Dec 30, 2022 Common Stock 70K $3.80 Direct F5
holding ATNXQ Restricted Stock Units 52.5K Dec 30, 2022 Common Stock 52.5K Direct F6, F7
holding ATNXQ Stock Option (Right to Buy) 75K Dec 30, 2022 Common Stock 75K $0.67 Direct F8
* 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 Includes 3 shares 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.
F8 This option vests in four equal annual installments beginning on July 20, 2023.