Filing Details

Accession Number:
0001209191-20-020265
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-19 16:19:01
Reporting Period:
2020-03-18
Accepted Time:
2020-03-19 16:19:01
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
1708965 Rudolf Kwan C/o Athenex, Inc.,
1001 Main Street, Suite 600
Buffalo NY 14203
Evp, Chief Medical 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 2020-03-18 4,000 $5.90 141,048 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) $4.55 2014-05-09 2021-05-09 48,000 48,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2016-01-02 2023-01-02 96,000 96,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2018-05-13 2023-05-13 48,000 48,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2018-02-12 2024-02-12 120,000 120,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2017-06-12 2024-06-12 48,000 48,000 Direct
Common Stock Stock Option (Right to Buy) $5.50 2018-12-16 2024-12-16 200,000 200,000 Direct
Common Stock Stock Option (Right to Buy) $7.50 2019-05-22 2025-05-22 120,000 120,000 Direct
Common Stock Stock Option (Right to Buy) $11.00 2027-06-13 140,000 140,000 Direct
Common Stock Stock Option (Right to Buy) $17.30 2018-03-27 120,000 120,000 Direct
Common Stock Stock Option (Right to Buy) $13.17 2029-02-28 120,000 120,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2021-05-09 48,000 48,000 Direct
2023-01-02 96,000 96,000 Direct
2023-05-13 48,000 48,000 Direct
2024-02-12 120,000 120,000 Direct
2024-06-12 48,000 48,000 Direct
2024-12-16 200,000 200,000 Direct
2025-05-22 120,000 120,000 Direct
2027-06-13 140,000 140,000 Direct
2018-03-27 120,000 120,000 Direct
2029-02-28 120,000 120,000 Direct
Footnotes
  1. These shares were purchased in multiple transactions at prices ranging from $5.738 to $6.055, inclusive. 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 any security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
  2. Includes 942 shares acquired under the Athenex, Inc. 2017 Employee Stock Purchase Plan.
  3. The option vests in three equal annual installments beginning on June 13, 2018.
  4. This 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.