Daniel Lang - 16 Sep 2022 Form 4 Insider Report for Athenex, Inc.

Role
Pres Cell Therapy, VP Corp Dev
Signature
/s/Steven Adams, Attorney-in-Fact
Issuer symbol
N/A
Transactions as of
16 Sep 2022
Net transactions value
-$1,766
Form type
4
Filing time
19 Sep 2022, 16:19:51 UTC
Previous filing
21 Jul 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ATNX Common Stock Options Exercise +12,500 +17% 85,913 16 Sep 2022 Direct F1, F2
transaction ATNX Common Stock Tax liability $1,766 -4,323 -5% $0.4086 81,590 16 Sep 2022 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ATNX Restricted Stock Units Options Exercise $0 -12,500 -25% $0.000000 37,500 16 Sep 2022 Common Stock 12,500 Direct F1, F5
holding ATNX Stock Option (Right to Buy) 40,000 16 Sep 2022 Common Stock 40,000 $10.25 Direct F3
holding ATNX Stock Option (Right to Buy) 50,000 16 Sep 2022 Common Stock 50,000 $2.77 Direct F4
holding ATNX Stock Option (Right to Buy) 200,000 16 Sep 2022 Common Stock 200,000 $0.6655 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one share of stock.
F2 Includes 30,000 shares subject to a restricted stock award vesting in four equal annual installments beginning on August 26, 2020.
F3 This option vests in four equal annual installments beginning on August 27, 2021.
F4 This option vests in four equal annual installments beginning on September 16, 2022.
F5 The restricted stock units vest in four equal annual installments beginning on September 16, 2022.
F6 This option vests in four equal annual installments beginning on July 20, 2023.