Filing Details
- Accession Number:
- 0001209191-18-058612
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-11-14 18:20:48
- Reporting Period:
- 2018-11-14
- Accepted Time:
- 2018-11-14 18:20:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1708965 | Rudolf Kwan | C/O Athenex, Inc., 1001 Main Street, Suite 600 Buffalo NY 14203 | Evp, Chief Medical Officer | No | Yes | 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 | $10.49 | 92,224 | 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 | 2019-12-10 | 24,000 | 24,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2021-05-09 | 48,000 | 48,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2023-01-02 | 96,000 | 96,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2023-05-13 | 48,000 | 48,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2024-02-12 | 120,000 | 120,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.55 | 2024-06-12 | 48,000 | 48,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $5.50 | 2024-12-16 | 200,000 | 200,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $7.50 | 2025-05-22 | 120,000 | 120,000 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $11.00 | 2027-06-13 | 140,000 | 140,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-12-10 | 24,000 | 24,000 | Direct |
| 2021-05-09 | 48,000 | 48,000 | Direct |
| 2023-01-02 | 96,000 | 96,000 | Direct |
| 2023-05-13 | 48,000 | 48,000 | Direct |
| 2024-02-12 | 120,000 | 120,000 | Direct |
| 2024-06-12 | 48,000 | 48,000 | Direct |
| 2024-12-16 | 200,000 | 200,000 | Direct |
| 2025-05-22 | 120,000 | 120,000 | Direct |
| 2027-06-13 | 140,000 | 140,000 | Direct |
Footnotes
- This transaction was executed in multiple trades ranging from $10.36 to $10.61. 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 equal monthly installments beginning on January 10, 2010.
- The option vests in two equal annual installments beginning on May 9, 2012.
- The option vests in two equal annual installments beginning on January 2, 2014
- The option vests in four equal annual installments beginning on May 13, 2014.
- The option vests in three equal annual installments beginning on February 12, 2015.
- The option vests in two equal annual installments beginning on June 12, 2015.
- The option vests in four equal annual installments beginning on December 16, 2015.
- The option vests in four equal annual installments beginning on May 22, 2016.
- The option vests in three equal annual installments beginning on June 13, 2018.
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