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

Role
Director
Signature
/s/Staci Holquist, Attorney-in-Fact
Issuer symbol
ATNXQ
Transactions as of
21 Apr 2023
Net transactions value
+$4,753
Form type
4
Filing time
24 Apr 2023, 16:33:14 UTC
Previous filing
17 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $4,753 +3,642 +83% $1.30 8,015 21 Apr 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 21 Apr 2023 Common Stock 500 $241.20 Direct F3
holding ATNXQ Stock Option (Right to Buy) 375 21 Apr 2023 Common Stock 375 $229.80 Direct F3
holding ATNXQ Stock Option (Right to Buy) 875 21 Apr 2023 Common Stock 875 $249.00 Direct F3, F4
holding ATNXQ Stock Option (Right to Buy) 438 21 Apr 2023 Common Stock 438 $76.00 Direct F3
holding ATNXQ Stock Option (Right to Buy) 875 21 Apr 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.