Filing Details
- Accession Number:
- 0001209191-18-050061
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-07 16:21:00
- Reporting Period:
- 2018-09-06
- Accepted Time:
- 2018-09-07 16:21:00
- 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 | 2018-09-06 | 2,500 | $16.09 | 266,708 | 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 | 2021-05-09 | 16,000 | 16,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2022-03-26 | 16,000 | 16,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2013-01-02 | 2023-01-02 | 90,000 | 90,000 | 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 | 2025-03-20 | 96,000 | 96,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $11.00 | 2027-06-13 | 28,500 | 28,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-05-09 | 16,000 | 16,000 | Direct |
| 2022-03-26 | 16,000 | 16,000 | Direct |
| 2023-01-02 | 90,000 | 90,000 | 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 |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $16.084 to $16.089. 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 of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- The option vested in two equal annual installments beginning on May 9, 2012.
- The option vested in full on March 26, 2013.
- The option vested in full on March 20, 2017.
- The option vests in four equal annual installments beginning on June 13, 2018.
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