Filing Details
- Accession Number:
- 0001209191-18-058610
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-14 18:16:07
- Reporting Period:
- 2018-11-14
- Accepted Time:
- 2018-11-14 18:16:07
- 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 | 2018-11-14 | 10,000 | $10.25 | 321,208 | 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 | 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 | 2017-03-20 | 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 |
|---|---|---|---|
| 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 ranging from $10.24 to $10.30. 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.
- The option vests in four equal annual installments beginning on June 13, 2018.
Billionaire Hedge Funds
