Rudolf Kwan - May 5, 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
May 5, 2023
Transactions value $
$4,900
Form type
4
Date filed
5/8/2023, 04:33 PM
Previous filing
Apr 24, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNXQ Common Stock Award $4.9K +3.6K +7.8% $1.36 49.8K May 5, 2023 Direct F1

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 May 5, 2023 Common Stock 2.4K $91.00 Direct
holding ATNXQ Stock Option (Right to Buy) 6K May 5, 2023 Common Stock 6K $91.00 Direct
holding ATNXQ Stock Option (Right to Buy) 2.4K May 5, 2023 Common Stock 2.4K $91.00 Direct
holding ATNXQ Stock Option (Right to Buy) 10K May 5, 2023 Common Stock 10K $110.00 Direct
holding ATNXQ Stock Option (Right to Buy) 6K May 5, 2023 Common Stock 6K $150.00 Direct
holding ATNXQ Stock Option (Right to Buy) 7K May 5, 2023 Common Stock 7K $220.00 Direct
holding ATNXQ Stock Option (Right to Buy) 6K May 5, 2023 Common Stock 6K $346.00 Direct
holding ATNXQ Stock Option (Right to Buy) 6K May 5, 2023 Common Stock 6K $263.40 Direct
holding ATNXQ Stock Option (Right to Buy) 7K May 5, 2023 Common Stock 7K $249.00 Direct F2
holding ATNXQ Stock Option (Right to Buy) 3.5K May 5, 2023 Common Stock 3.5K $76.00 Direct F3
holding ATNXQ Restricted Stock Units 2.63K May 5, 2023 Common Stock 2.63K Direct F4, F5
holding ATNXQ Stock Option (Right to Buy) 3.75K May 5, 2023 Common Stock 3.75K $13.31 Direct F6
* 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 This option vests in four equal annual installments beginning on June 5, 2021.
F3 The option vests in four equal annual installments beginning on August 3, 2022.
F4 Each restricted stock unit represents a contingent right to receive one share of stock.
F5 The restricted stock units vest in four equal annual installments beginning on August 3, 2022.
F6 This option vests in four equal annual installments beginning on July 20, 2023.