Filing Details

Accession Number:
0001209191-21-060367
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-10-13 16:37:55
Reporting Period:
2021-10-12
Accepted Time:
2021-10-13 16:37:55
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
1314254 Jinn Wu 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 2021-10-01 10,000 $2.67 413,208 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 2013-01-02 2023-01-02 40,000 40,000 Direct
Common Stock Stock Option (Right to Buy) $4.55 2014-02-12 2024-02-12 10,000 10,000 Direct
Common Stock Stock Option (Right to Buy) $5.50 2015-02-05 2025-02-05 54,000 54,000 Direct
Common Stock Stock Option (Right to Buy) $5.50 2017-03-20 2025-03-20 96,000 96,000 Direct
Common Stock Stock Option (Right to Buy) $11.00 2021-06-13 2027-06-13 28,500 28,500 Direct
Common Stock Stock Option (Right to Buy) $17.30 2028-03-27 16,500 16,500 Direct
Common Stock Stock Option (Right to Buy) $13.17 2029-02-28 15,000 15,000 Direct
Common Stock Stock Option (Right to Buy) $12.45 2030-06-05 12,500 12,500 Direct
Common Stock Stock Option (Right to Buy) $3.80 2031-08-03 7,500 7,500 Direct
Common Stock Restricted Stock Units $0.00 7,500 7,500 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-01-02 40,000 40,000 Direct
2024-02-12 10,000 10,000 Direct
2025-02-05 54,000 54,000 Direct
2025-03-20 96,000 96,000 Direct
2027-06-13 28,500 28,500 Direct
2028-03-27 16,500 16,500 Direct
2029-02-28 15,000 15,000 Direct
2030-06-05 12,500 12,500 Direct
2031-08-03 7,500 7,500 Direct
7,500 7,500 Direct
Footnotes
  1. This option vests in four equal annual installments beginning on March 27, 2019.
  2. This option vests in four equal annual installments beginning on February 28, 2020.
  3. This option vests in four equal annual installments beginning on June 5, 2021.
  4. This option vests on August 3, 2022.
  5. Each restricted stock unit represents a contingent right to receive one share of stock.
  6. The restricted stock units vest on August 3, 2022.