Rudolf Kwan - 05 May 2023 Form 4 Insider Report for Athenex, Inc.

Reporting relationship: EVP, Chief Medical Officer
Issuer ticker: N/A
Reported as of: 05 May 2023
Net transaction value: +$4,900
SEC form: 4
Accepted by SEC: 08 May 2023, 16:33:18 UTC
Prior SEC filing: 24 Apr 2023
Source filing: View source filing
Reporting owner signature: /s/ Steven Adams, Attorney-in-Fact

Key filing fact

Rudolf Kwan filed Form 4 for Athenex, Inc. on 08 May 2023.

Key facts

This page summarizes Rudolf Kwan's Form 4 filing for Athenex, Inc..
1 reported transaction and 12 derivative rows are listed below.
Accepted by SEC: 08 May 2023, 16:33.

Change

Previous filing in this sequence was filed on 24 Apr 2023.
Current net transaction value: +$4,900.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ATNXQ transaction

Common Stock

Award

Transaction value: $4,900
Shares: +3,603
Change %: +7.8%
Price: $1.36
Shares after: 49,816
Date: 05 May 2023
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,400
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,400
Exercise price: $91.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 6,000
Exercise price: $91.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,400
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,400
Exercise price: $91.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 10,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 10,000
Exercise price: $110.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 6,000
Exercise price: $150.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 7,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 7,000
Exercise price: $220.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 6,000
Exercise price: $346.00

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 6,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 6,000
Exercise price: $263.40

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 7,000
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 7,000
Exercise price: $249.00
Footnotes: F2

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 3,500
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,500
Exercise price: $76.00
Footnotes: F3

ATNXQ holding Derivative

Restricted Stock Units

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,625
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 2,625
Exercise price
Footnotes: F4, F5

ATNXQ holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 3,750
Date: 05 May 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,750
Exercise price: $13.31
Footnotes: F6

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 6 footnotes

Footnote 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.

Footnote F2

This option vests in four equal annual installments beginning on June 5, 2021.

Footnote F3

The option vests in four equal annual installments beginning on August 3, 2022.

Footnote F4

Each restricted stock unit represents a contingent right to receive one share of stock.

Footnote F5

The restricted stock units vest in four equal annual installments beginning on August 3, 2022.

Footnote F6

This option vests in four equal annual installments beginning on July 20, 2023.

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