Filing Details
- Accession Number:
- 0001209191-21-018572
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-08 16:39:55
- Reporting Period:
- 2021-03-04
- Accepted Time:
- 2021-03-08 16:39:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1427110 | Wei William Zuo | C/O Athenex, Inc. 1001 Main Street, Suite 600 Buffalo NY 14203 | President, China Division | 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 | Disposition | 2021-03-04 | 419,931 | $4.52 | 142,883 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | 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) | $7.50 | 2018-06-11 | 2025-06-11 | 120,000 | 120,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $11.00 | 2018-06-13 | 2027-06-13 | 1 | 1 | Direct |
| Common Stock | Stock Option (Right to Buy) | $17.30 | 2028-03-27 | 25,000 | 25,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $13.17 | 2029-02-28 | 25,000 | 25,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $12.45 | 2030-06-05 | 25,000 | 25,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-06-11 | 120,000 | 120,000 | Direct |
| 2027-06-13 | 1 | 1 | Direct |
| 2028-03-27 | 25,000 | 25,000 | Direct |
| 2029-02-28 | 25,000 | 25,000 | Direct |
| 2030-06-05 | 25,000 | 25,000 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $4.41 to $4.65. 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.
- This option vests in four equal annual installments beginning on March 27, 2019.
- The option vests in four equal annual installments beginning on February 28, 2020.
- This option vests in four equal annual installments beginning on June 5, 2021.
Billionaire Hedge Funds
