Filing Details

Accession Number:
0001209191-19-053414
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-10-17 16:11:39
Reporting Period:
2019-10-17
Accepted Time:
2019-10-17 16:11:39
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1300699 Athenex Inc. ATNX Pharmaceutical Preparations (2834) 431985966
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1751011 Randoll Sze C/O Athenex, Inc.
1001 Main Street, Suite 600
Buffalo NY 14203
Chief Financial Officer 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 2019-10-17 1,000 $10.99 3,000 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) $17.09 2028-08-20 90,000 90,000 Direct
Common Stock Stock Option (Right to Buy) $17.77 2027-10-03 28,000 28,000 Direct
Common Stock Stock Option (Right to Buy) $17.30 2028-03-27 10,000 10,000 Direct
Common Stock Stock Option (Right to Buy) $13.17 2029-02-28 60,000 60,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2028-08-20 90,000 90,000 Direct
2027-10-03 28,000 28,000 Direct
2028-03-27 10,000 10,000 Direct
2029-02-28 60,000 60,000 Direct
Footnotes
  1. This transaction was executed in multiple trades ranging from $10.9862 to $10.99. 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 four equal annual installments beginning on August 20, 2019.
  3. The option vests in four equal annual installments beginning on October 3, 2018.
  4. The option vests in four equal annual installments beginning on March 27, 2019.
  5. The option vests in four equal annual installments beginning on February 28, 2020.