Joe Annoni - 22 Feb 2023 Form 4 Insider Report for Athenex, Inc.

Role
Chief Financial Officer
Signature
/s/Steven Adams, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
22 Feb 2023
Net transactions value
-$665
Form type
4
Filing time
27 Feb 2023, 15:54:23 UTC
Previous filing
21 Jul 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Options Exercise +625 625 22 Feb 2023 Direct F1, F2
transaction ATNXQ Common Stock Tax liability $665 -250 -40% $2.66 375 22 Feb 2023 Direct

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 -625 -25% $0.000000 1,875 22 Feb 2023 Common Stock 625 Direct F1, F6, F7, F8
holding ATNXQ Stock Option (Right to Buy) 2,500 22 Feb 2023 Common Stock 2,500 $16.60 Direct F3, F4, F5
holding ATNXQ Stock Option (Right to Buy) 5,000 22 Feb 2023 Common Stock 5,000 $13.31 Direct F3, F9
* 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 the contingent right to receive one share of stock.
F2 As of February 15, 2023, the issuer effected a reverse stock split of its common stock at a ratio of 1-for-20, resulting in every 20 shares owned by the reporting person to be combined into one share of common stock.
F3 This option was adjusted to reflect the reverse stock split that occurred on February 15, 2023.
F4 This option was previously reported by Mr. Annoni. The date and exercise price have been changed to correct an administrative error.
F5 This option vests in four equal annual installments beginning on February 22, 2023.
F6 The restricted stock units were adjusted to reflect the reverse stock split that occurred on February 15, 2023.
F7 The restricted stock units vest in four equal installments beginning on February 22, 2023.
F8 This restricted stock unit was previously reported by Mr. Annoni. The vesting dates have been changed to correct an administrative error.
F9 This option vests in four equal annual installments beginning on July 20, 2023.