Rudolf Kwan - 27 Jan 2023 Form 4 Insider Report for Athenex, Inc.

Role
EVP, Chief Medical Officer
Signature
/s/ Steven Adams, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
27 Jan 2023
Net transactions value
+$4,900
Form type
4
Filing time
31 Jan 2023, 07:13:32 UTC
Previous filing
17 Jan 2023
Next filing
13 Feb 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $4,900 +25,323 +4.5% $0.1935 590,246 27 Jan 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) 96,000 27 Jan 2023 Common Stock 96,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 27 Jan 2023 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 27 Jan 2023 Common Stock 120,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 48,000 27 Jan 2023 Common Stock 48,000 $4.55 Direct
holding ATNXQ Stock Option (Right to Buy) 200,000 27 Jan 2023 Common Stock 200,000 $5.50 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 27 Jan 2023 Common Stock 120,000 $7.50 Direct
holding ATNXQ Stock Option (Right to Buy) 140,000 27 Jan 2023 Common Stock 140,000 $11.00 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 27 Jan 2023 Common Stock 120,000 $17.30 Direct
holding ATNXQ Stock Option (Right to Buy) 120,000 27 Jan 2023 Common Stock 120,000 $13.17 Direct F2
holding ATNXQ Stock Option (Right to Buy) 140,000 27 Jan 2023 Common Stock 140,000 $12.45 Direct F3
holding ATNXQ Stock Option (Right to Buy) 70,000 27 Jan 2023 Common Stock 70,000 $3.80 Direct F4
holding ATNXQ Restricted Stock Units 52,500 27 Jan 2023 Common Stock 52,500 Direct F5, F6
holding ATNXQ Stock Option (Right to Buy) 75,000 27 Jan 2023 Common Stock 75,000 $0.6655 Direct F7
* 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 February 28, 2020.
F3 This option vests in four equal annual installments beginning on June 5, 2021.
F4 The option vests in four equal annual installments beginning on August 3, 2022.
F5 Each restricted stock unit represents a contingent right to receive one share of stock.
F6 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
F7 This option vests in four equal annual installments beginning on July 20, 2023.