Stephanie A. Davis - Apr 21, 2023 Form 4 Insider Report for Athenex, Inc. (ATNXQ)

Role
Director
Signature
/s/Staci Holquist, Attorney-in-Fact
Stock symbol
ATNXQ
Transactions as of
Apr 21, 2023
Transactions value $
$4,753
Form type
4
Date filed
4/24/2023, 04:33 PM
Previous filing
Jan 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $4.75K +3.64K +83.28% $1.31 8.02K Apr 21, 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) 500 Apr 21, 2023 Common Stock 500 $241.20 Direct F3
holding ATNXQ Stock Option (Right to Buy) 375 Apr 21, 2023 Common Stock 375 $229.80 Direct F3
holding ATNXQ Stock Option (Right to Buy) 875 Apr 21, 2023 Common Stock 875 $249.00 Direct F3, F4
holding ATNXQ Stock Option (Right to Buy) 438 Apr 21, 2023 Common Stock 438 $76.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 875 Apr 21, 2023 Common Stock 875 $9.14 Direct F3, F5
* 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 June 5, 2021.
F5 This option vests on June 28, 2023.