Filing Details

Accession Number:
0001209191-18-058578
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-11-14 17:25:52
Reporting Period:
2018-11-14
Accepted Time:
2018-11-14 17:25:52
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1300699 Athenex Inc. ATNX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1189013 Jeffrey Yordon C/O Athenex, Inc.
1001 Main Street, Suite 600
Buffalo NY 14203
See Remarks No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-11-14 9,500 $10.49 198,209 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (Right to Buy) $9.00 2026-06-19 150,000 150,000 Direct
Common Stock Stock Option (Right to Buy) $11.00 2027-06-13 230,000 230,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2026-06-19 150,000 150,000 Direct
2027-06-13 230,000 230,000 Direct
Footnotes
  1. This transaction was executed in multiple trades ranging from $10.367 to $10.625. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder full information regarding the number of shares and prices at which the transactions were effected.
  2. The option vests in two equal annual installments beginning on June 19, 2017.
  3. The option vests in three equal annual installments beginning on June 13, 2018.