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

Role
Chief Financial Officer
Signature
/s/Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Feb 22, 2023
Transactions value $
-$665
Form type
4
Date filed
2/27/2023, 03:54 PM
Previous filing
Jul 21, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Options Exercise +625 625 Feb 22, 2023 Direct F1, F2
transaction ATNXQ Common Stock Tax liability -$665 -250 -40% $2.66 375 Feb 22, 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% $0.00 1.88K Feb 22, 2023 Common Stock 625 Direct F1, F6, F7, F8
holding ATNXQ Stock Option (Right to Buy) 2.5K Feb 22, 2023 Common Stock 2.5K $16.60 Direct F3, F4, F5
holding ATNXQ Stock Option (Right to Buy) 5K Feb 22, 2023 Common Stock 5K $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.