Timothy DeVere Cook - Feb 24, 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
Feb 24, 2023
Transactions value $
$499
Form type
4
Date filed
2/27/2023, 04:01 PM
Previous filing
Feb 13, 2023
Next filing
Mar 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $499 +182 +8.35% $2.74 2.36K Feb 24, 2023 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) 3.5K Feb 24, 2023 Common Stock 3.5K $345.80 Direct F3
holding ATNXQ Stock Option (Right to Buy) 1.5K Feb 24, 2023 Common Stock 1.5K $205.20 Direct F3, F4
holding ATNXQ Stock Option (Right to Buy) 450 Feb 24, 2023 Common Stock 450 $71.20 Direct F3, F5
holding ATNXQ Restricted Stock Units 338 Feb 24, 2023 Common Stock 338 Direct F6, F7, F8
holding ATNXQ Stock Option (Right to Buy) 3.75K Feb 24, 2023 Common Stock 3.75K $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 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 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 vests in four equal annual installments beginning on August 27, 2021.
F5 This option vests in four equal annual installments beginning on September 16, 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 September 16, 2022.
F8 The restricted stock units were adjusted to reflect the reverse stock split that occurred on February 15, 2023.
F9 This option vests in four equal annual installments beginning on July 20, 2023.

Remarks:

Chief Business and Commercial Officer, Proprietary Drugs