Rudolf Kwan - Feb 24, 2023 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
EVP, Chief Medical Officer
Signature
/s/ Steven Adams, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Feb 24, 2023
Transactions value $
$4,899
Form type
4
Date filed
2/27/2023, 04:07 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 $4.9K +1.79K +5.84% $2.74 32.4K 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) 2.4K Feb 24, 2023 Common Stock 2.4K $91.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 6K Feb 24, 2023 Common Stock 6K $91.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 2.4K Feb 24, 2023 Common Stock 2.4K $91.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 10K Feb 24, 2023 Common Stock 10K $110.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 6K Feb 24, 2023 Common Stock 6K $150.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 7K Feb 24, 2023 Common Stock 7K $220.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 6K Feb 24, 2023 Common Stock 6K $346.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 6K Feb 24, 2023 Common Stock 6K $263.40 Direct F3, F4
holding ATNXQ Stock Option (Right to Buy) 7K Feb 24, 2023 Common Stock 7K $249.00 Direct F3, F5
holding ATNXQ Stock Option (Right to Buy) 3.5K Feb 24, 2023 Common Stock 3.5K $76.00 Direct F3, F6
holding ATNXQ Restricted Stock Units 2.63K Feb 24, 2023 Common Stock 2.63K Direct F7, F8, F9
holding ATNXQ Stock Option (Right to Buy) 3.75K Feb 24, 2023 Common Stock 3.75K $13.31 Direct F3, F10
* 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 February 28, 2020.
F5 This option vests in four equal annual installments beginning on June 5, 2021.
F6 The option vests in four equal annual installments beginning on August 3, 2022.
F7 Each restricted stock unit represents a contingent right to receive one share of stock.
F8 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
F9 The restricted stock units were adjusted to reflect the reverse stock split that occurred on February 15, 2023.
F10 This option vests in four equal annual installments beginning on July 20, 2023.