Filing Details
- Accession Number:
- 0001209191-21-031230
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-10 13:00:00
- Reporting Period:
- 2021-05-06
- Accepted Time:
- 2021-05-10 16:19:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1191859 | John Vierling | C/O Athenex, Inc. 1001 Main Street, Suite 600 Buffalo NY 14203 | Yes | No | 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 | 2021-05-07 | 250 | $4.50 | 3,750 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2021-05-06 | 1,700 | $4.04 | 3,500 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| 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) | $12.06 | 2029-04-01 | 10,000 | 10,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $11.49 | 2029-04-03 | 2,500 | 2,500 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $12.45 | 2030-06-05 | 12,500 | 12,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2029-04-01 | 10,000 | 10,000 | Direct |
| 2029-04-03 | 2,500 | 2,500 | Direct |
| 2030-06-05 | 12,500 | 12,500 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $4.030 to $4.0399, 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 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 April 1, 2020.
- This option vests in four equal annual installments beginning on April 3, 2020.
- This option vests in four equal annual installments beginning on June 5, 2021.
Billionaire Hedge Funds
