Timothy DeVere Cook - Jan 13, 2023 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
Jan 13, 2023
Transactions value $
$500
Form type
4
Date filed
1/17/2023, 07:03 AM
Previous filing
Jan 3, 2023
Next filing
Jan 31, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $500 +2.69K +7.45% $0.19 38.8K Jan 13, 2023 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 Jan 13, 2023 Common Stock 70K $17.29 Direct
holding ATNXQ Stock Option (Right to Buy) 30K Jan 13, 2023 Common Stock 30K $10.26 Direct F2
holding ATNXQ Stock Option (Right to Buy) 9K Jan 13, 2023 Common Stock 9K $3.56 Direct F3
holding ATNXQ Restricted Stock Units 6.75K Jan 13, 2023 Common Stock 6.75K Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 75K Jan 13, 2023 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